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Thomas R. Rogers
FINANCIAL TRANSPARENCY
Longwood, FL 32778
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CRD#: 3103041
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Professional summary
Thomas Robert Rogers, who also goes by Thom Rogers, is a registered financial advisor currently at FINANCIAL TRANSPARENCY located in Longwood, Florida.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thom Rogers
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
WEALTH STRATEGIES COLLOBRATIVE, INC., NON INVESTMENT, 29012 ISLAND CLUB DRIVE DEER ISLAND FL 32778, CONSULTING WITH CLIENTS & OTHER PROFESSIONALS, PRESIDENT, 5/16/00, 64 HRS/MONTH, CONSULTING WITH CLIENTS & WITH OTHER PROFESSIONALS;
CORNERSTONE ADVISORY CONSULTING, LLC, INVESTMENT RELATED, 900 FOX VALLEY DR SUITE 102, LONGWOOD FL 32779, FINANCIAL SERVICES, OWNER, 6/1/11, MANAGERIAL AND SERVICING CLIENTS.
WEALTH STRATEGIES COLLABORATIVE, LLC; POSITION: MANAGER; INVESTMENT RELATED: YES; LOCATION; 900 FOX VALLEY DRIVE, SUITE 102, LONGWOOD, FL 32779; DESCRIPTION OF THE BUSINESS: HARD MONEY LOANS; BUSINESS STARTED: 7/3/2018; DURING TRADING HOURS: 10 HOUR - DURING OUTSIDE TRADING HOURS: 25 HOUR - EXPECTED TOTAL YEARLY COMPENSATION DERIVED FROM THE BUSINESS: 10%
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Robert Rogers's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 16, 2018 - Present
FINANCIAL TRANSPARENCY
Office #1: 900 Fox Valley Dr Suite 102, Longwood, FL 32778RIA
CRD#: 297713
Longwood, FL
Past
May 3, 2011 - September 4, 2018
TRUSTEE EMPOWERMENT & PROTECTION, INC.
RIA
CRD#: 108249
LONGWOOD, FL
Past
April 20, 2011 - August 13, 2018
CSSC BROKERAGE SERVICES, INC.
BD
CRD#: 141630
LONGWOOD, FL
Past
March 7, 2000 - January 4, 2010
VALMARK ADVISERS, INC.
RIA
CRD#: 108050
LONGWOOD, FL
Past
December 2, 1998 - January 4, 2010
VALMARK SECURITIES, INC.
BD
CRD#: 31243
AKRON, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FT
FINANCIAL TRANSPARENCY
ARISTOTLE ADVISORS, LLC | PEARSON CONSULTANTS, INC. | OAK KNOLL CONSULTING SERVICES, LLC | MICHAEL MACDONALD FINANCIAL MANAGEMENT | JOSHUA TREE INVESTMENTS | GIARDINA & BRESETT CONSULTING SERVICES, INC. | GBK FINANCIAL SERVICES, LLC | FINANCIAL TRANSPARENCY | ENVISION FINANCIAL TRANSPARENCY, LLC | EAGLE CAPITAL GROUP, LLC | DOWNTOWN FINANCIAL MANAGEMENT, LLC | DONOHUE CONSULTING GROUP, INC. | CORNERSTONE ADVISORY CONSULTING, LLC | CONDLEY FINANCIAL SERVICES, INC. | CLEAR PERSPECTIVE ADVISORS, LLC | BLACKHEATH CAPITAL MANAGEMENT, LLC | BANKLER ADVISORY SERVICES, LLP
CRD#: 297713 / SEC#: 801-113605
RIA
Registered Investment Advisory firm - (7/13/2018 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(8/16/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FT
FINANCIAL TRANSPARENCY
ARISTOTLE ADVISORS, LLC | PEARSON CONSULTANTS, INC. | OAK KNOLL CONSULTING SERVICES, LLC | MICHAEL MACDONALD FINANCIAL MANAGEMENT | JOSHUA TREE INVESTMENTS | GIARDINA & BRESETT CONSULTING SERVICES, INC. | GBK FINANCIAL SERVICES, LLC | FINANCIAL TRANSPARENCY | ENVISION FINANCIAL TRANSPARENCY, LLC | EAGLE CAPITAL GROUP, LLC | DOWNTOWN FINANCIAL MANAGEMENT, LLC | DONOHUE CONSULTING GROUP, INC. | CORNERSTONE ADVISORY CONSULTING, LLC | CONDLEY FINANCIAL SERVICES, INC. | CLEAR PERSPECTIVE ADVISORS, LLC | BLACKHEATH CAPITAL MANAGEMENT, LLC | BANKLER ADVISORY SERVICES, LLP
CRD#: 297713 / SEC#: 801-113605
RIA
Registered Investment Advisory firm - (7/13/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Greensboro, NC
Mailing Address
Phone number
(336) 715-3300
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 500 |
| AUM (Assets Under Management) | $ 306,343,419 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 11/27/2024 | ||
| 02/27/2024 | ||
| 04/28/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
