KR
Kerry D. Rogers
PRINCIPAL SECURITIES
Wildwood, MO
Some features on this profile are disabled
CRD#: 3116278
KR
Professional summary
Kerry D Rogers, who also goes by Kerry Dean Rogers, Kerry Rogers, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Wildwood, Missouri.
Kerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Kerry has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kerry Dean Rogers | Kerry 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.
SALE OF OUTSIDE INSURANCE POSITION: agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/16/2022 ADDRESS: 625 Maryville Centre Drive Suite 110, St Louis MO 63141, United States DESCRIPTION: Sale of service of outside fixed insurance products through various carriers - life, LTC, DI, and group products (life and disability).
CRS (Client Relationship Summary) - RIA
Click below to view Kerry D Rogers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kerry D 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
July 20, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 625 Maryville Centre Dr Ste 110, Saint Louis, MO 63141RIA
BD
CRD#: 1137
Wildwood, MO
Current
July 18, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 625 Maryville Centre Dr Ste 110, Saint Louis, MO 63141RIA
BD
CRD#: 1137
Saint Louis, MO
Past
October 30, 2017 - July 18, 2022
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
IRVINGTON, NY
Past
October 30, 2017 - July 18, 2022
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
IRVINGTON, NY
Past
May 19, 2017 - August 25, 2017
CLARK FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 110650
CHESTERFIELD, MO
Past
May 4, 2009 - December 31, 2010
CUTTER & COMPANY, INC.
RIA
CRD#: 22449
CHESTERFIELD, MO
Past
May 4, 2009 - December 31, 2016
CUTTER & COMPANY, INC.
BD
CRD#: 22449
CHESTERFIELD, MO
Past
June 5, 2007 - May 11, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
ST. LOUIS, MO
Past
June 5, 2007 - May 11, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
ST. LOUIS, MO
Past
October 1, 2004 - October 12, 2007
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
TOWN & COUNTRY, MO
Past
October 1, 2004 - October 12, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
TOWN & COUNTRY, MO
Past
February 3, 1999 - October 14, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CLAYTON, MO
Past
November 2, 1998 - October 14, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(11/14/2024)
RR
Idaho(6/24/2025)
RR
Illinois(9/15/2022)
RR
Indiana(6/15/2023)
RR
Kansas(7/18/2022)
RR
Michigan(7/18/2025)
RR
Missouri(7/18/2022)
IAR
Missouri(7/20/2022)
RR
Oregon(9/18/2025)
RR
Texas(7/18/2022)
IAR
Texas(9/30/2025)
RR
Washington(10/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
