PR
Philip M. Rogers
COMMERCE BROKERAGE SERVICES
Kansas City, MO 64106
Some features on this profile are disabled
CRD#: 3221911
PR
Professional summary
Philip Michael Rogers III, who also goes by Philip Rogers, is a registered financial professional currently at COMMERCE BROKERAGE SERVICES, INC. located in Kansas City, Missouri.
Philip is registered as a RR (Registered Representative) and started their career in finance in 1999. Philip has worked at 4 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Philip 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Philip Michael Rogers III'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
March 2, 2022 - Present
COMMERCE BROKERAGE SERVICES, INC.
Office #1: 1000 Walnut 3rd Floor, Kansas City, MO 64106BD
CRD#: 17140
Kansas City, MO
Past
May 31, 2013 - March 1, 2022
VINING-SPARKS IBG, LLC
BD
CRD#: 27502
Jersey City, NJ
Past
March 6, 2008 - April 3, 2013
FIRST SOUTHWEST COMPANY, LLC
BD
CRD#: 316
NEW YORK, NY
Past
September 13, 1999 - November 28, 2007
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Arizona(3/2/2022)
RR
California(3/2/2022)
RR
Colorado(3/2/2022)
RR
Connecticut(3/2/2022)
RR
Delaware(3/2/2022)
RR
Florida(3/2/2022)
RR
Georgia(3/2/2022)
RR
Illinois(3/2/2022)
RR
Iowa(11/15/2022)
RR
Kansas(4/20/2022)
RR
Maryland(3/2/2022)
RR
Massachusetts(3/2/2022)
RR
Michigan(3/2/2022)
RR
Minnesota(11/18/2022)
RR
Missouri(4/20/2022)
RR
New Jersey(3/2/2022)
RR
New York(3/2/2022)
RR
North Carolina(3/2/2022)
RR
Ohio(3/8/2022)
RR
Pennsylvania(3/2/2022)
RR
Rhode Island(3/2/2022)
RR
Texas(3/2/2022)
RR
Utah(3/2/2022)
RR
Virginia(3/2/2022)
RR
Wisconsin(8/2/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CB
COMMERCE BROKERAGE SERVICES, INC.
COMMERCE BROKERAGE SERVICES, INC | COMMERCE FINANCIAL ADVISORS | COMMERCE BROKERAGE SERVICES, INC.
CRD#: 17140 / SEC#: 801-66509, 8-35096
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
8000 Forsyth Blvd Suite 1200 East, Clayton, MO 63105-1707
Mailing Address
8000 Forsyth Blvd Suite 1200, Clayton, MO 63105-1707
Phone number
(314) 746-8593
Established
Missouri since 10/04/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| CHMELKA, JOHN EMIL | PRINCIPAL OPERATIONS OFFICER | 2052962 |
| HARMON, THOMAS DARIN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 7787415 |
| MOWER, MATHEW ROBERT | SENIOR VICE PRESIDENT | 3176197 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET | CORPORATE SECRETARY | 7576973 |
| SIMPSON, TIFFANY LYNN | TREASURER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 6685507 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Regulatory assets under management
| Total Number of Accounts | 3,570 |
| AUM (Assets Under Management) | $ 650,363,405 |
Disclosures
| Regulatory Event | 5 |
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.
Company Information
COMMERCE BROKERAGE SERVICES, INC.
CRD#: 17140Kansas City, MO 64106TRUST BUT VERIFY
Monitor Philip Rogers
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
