JR
James A. Rogers
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CRD#: 402782
JR
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Archie Rogers was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 12 firms and has passed the Series 65, Series 63, Series 31, PC and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 15, 2012 - October 26, 2012
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
TAMPA, FL
Past
April 25, 2008 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
TAMPA, FL
Past
April 21, 2008 - September 24, 2012
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
TAMPA, FL
Past
January 1, 2008 - April 28, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
TAMPA, FL
Past
January 1, 2008 - April 28, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
TAMPA, FL
Past
October 30, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
TAMPA, FL
Past
October 24, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
TAMPA, FL
Past
January 28, 1998 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
July 31, 1993 - September 1, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
TAMPA, FL
Past
July 31, 1993 - September 1, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
TAMPA, FL
Past
August 20, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 14, 1988 - August 7, 1991
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 19, 1978 - August 1, 1988
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
Past
June 24, 1974 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
BD
CRD#: 488
Past
November 1, 1971 - July 26, 1974
CLARK, DODGE & CO., INCORPORATED
BD
CRD#: 161
Past
October 22, 1969 - November 14, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 8/15/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 10/21/1969
Registered Representative ExaminationCurrent Firm
FA
FIRST ALLIED ADVISORY SERVICES, INC.
"MONEY MAKE OVER"; FPA OF SAN JUAQUIN | CLOVER WEALTH MANAGEMENT, LTD | CLARK FINANCIAL GROUP LLC | CLARITY FINANCIAL SERVICES | CIMCO WEALTH ADVISORS | CIMCO PRIVATE WEALTH | CHRISTOPHER S. WRIGHT MANAGEMENT CORPORATION | CHRISTINE TANG INVESTMENTS | CHIP COUGHLIN & COMPANY | CHIP COUGHLIN & CO. | CHICHESTER WOLD FINANCIAL, LLC | CHICHESTER FINANCIAL GROUP LLC | CHESTNUT INVESTMENT GROUP | CHARLES R DUNN INVESTMENT ADVISORS | CENTER FOR FINANCIAL SOLUTIONS WEALTH MANAGEMENT | CATER WEALTH MANAGEMENT | CATER ENTERPRISES | CASTLEROCK INSURANCE GROUP | CASTLE ROCK WEALTH MANAGEMENT | CASSEDY FINANCIAL GROUP, INC. | CAROLINA CAPITAL GROUP, INC. | CARNS FINANCIAL GROUP | CARLTON WEALTH MANAGEMENT, LLC | CARLTON MACLACHLAN, LLC | CARDINAL WEALTH MANAGEMENT | CARD INVESTMENT GROUP, INC. | CAPITAL ROCK ADVISORS | CAPITAL MANAGEMENT WEALTH AND RETIREMENT PLANNING | CAPITAL LEGACY INVESTEMENTS, LLC | CAPITAL INVESTMENT MANAGEMENT | CAPITAL CONCEPTS | CAPITAL ASSET MANAGEMENT, LLC | CAPITAL ASPECTS | CAMPANALE CONSULTING GROUP LLC | CAMBRIDGE FINANCIAL GROUP LLC | CALIFORNIA RETIREMENT ADVISORS GROUP | CADUCEUS CONSULTING ENTERPRISES, LLC | CADUCEUS CONSULTING ALLIANCE PARTNER | CADUCEUS CONSULTING | BYERLY WEALTH MANAGEMENT | BURGDORF & ASSOCIATES WEALTH MANAGERS, INC. | BULL CHIP | BSB FINANCIAL SERVICES | BRUNETTE AND ASSOCIATES, LLC | BRUNETTE & ASSOCIATES | BROOKS INVESTMENT GROUP | BROOKS FINANCIAL SERVICES | BRENTMARK SOFTWARE INC | BRADY-RAEBER EQUITY FINANCIAL SERVICES | BRADFORD WEALTH MANAGEMENT, LLC | BOLTON CAPITAL MANAGEMENT, INC. | BOGGS AND ASSOCIATES WEALTH ADVISORS | BOGGS & BENTON WEALTH ADVISORS | BOGGS & BENTON | BLUE SKY FINANCIAL GROUP | BLOOMFIELD HILLS FINANCIAL | BISHOP FINANCIAL ADVISORS | BIERMAIER FINANCIAL MANAGEMENT | BIAGINI GRASSI ADVISORY GROUP, LLC | BHMR FINANCIAL SERVICES, INC. | BH WEALTH MANAGEMENT LLC | BERMAN FINANCIAL SERVICES | BERKELEY WEALTH PROFESSIONALS, PLLC | BENSON FINANCIAL SERVICES, INC. | BENNAJI GROUP | BELANGER AND ASSOCIATES, INC. | BAY CLIADAKIS & ASSOCIATES | BAY AREA RETIREMENT SOLUTIONS | BAUGHMAN WEALTH ADVISORS, INC | BAUGHMAN FINANCIAL GROUP | BAKER & COMPANY ADVISORY GROUP, INC. | BAHARY FINANCIAL GROUP | BAAM SECURITIES AND WEALTH MANAGEMENT, LLC | AXIS WEALTH PLANNING, LLC | AW WEALTH ADVISORY | AVISO WEALTH MANAGEMENT | AVISO FINANCIAL, LLC | AUBERT INSURANCE AGENCY | ATLAS METALS | ASSET PLANNING STRATEGIES LLC | ASSET PLANNING CONSULTANTS, INC. | ASSET ADVISORY SERVICES | ASCENT FINANCIAL GROUP, LLC | ART OF LEADERSHIP | ARMSTRONG & ASSOCIATES | ARCHE WEALTH MANAGEMENT | APPLIED FINANCIAL MANAGEMENT, LLC | APPLE INVESTMENT MANAGEMENT, LLC | APEX WEALTH MANAGEMENT | ANNUITY ADVISORS | ANIMAS CAPITAL MANAGEMENT | ANDERSON THORNTON FINANCIAL LLC | ANDERSON THORNTON | ANCHOR POINT WEALTH MANAGEMENT | ANALYTIC WEALTH STRATEGIES | AMWELL RIDGE WEALTH MANAGEMENT | AMERIFIRST FINANCIAL ASSOCIATES | AMERICAN RETIREMENT SOLUTIONS | AMERICAN FINANCIAL MARKETING | AMERICAN CONSUMER FINANCIAL NETWORK | AMERICA'S WEALTH MANAGEMENT SHOW | AMERICA'S FIRST FINANCIAL CORP | ALTUM WEALTH ADVISORS | ALLMAN CONSULTING, LLC | ALLIES 21, LLC | ALLIANCE WEALTH MANAGEMENT | ALEXANDER FINANCIAL SERVICES, INC. | ALESSANDRA CAPITAL MANAGEMENT LLC | ALDRIDGE FINANCIAL LLC | ALBURNS FINANCIAL SERVICES, INC. | AIM REINVESTMENTS, LLC | AIM GROUP | AGNONE AND ASSOCIATES FINANCIAL SERVICES | AGNONE & ASSOCIATES, LLC | AFG WEALTH MANAGEMENT | ADVANCED WEALTH STRATEGIES LLC | ADVANCED WEALTH STRATEGIES GROUP | ADVANCED WEALTH STRATEGIES | ADVANCED WEALTH PLANNING | ADVANCED WEALTH MANAGEMENT SOLUTIONS | ADVANCED WEALTH MANAGEMENT | ADVANCED LEGACY STRATEGIES | ADVANCED FINANCIAL SERVICES | ADVANCED EQUITIES ASSET MANAGEMENT | ADVANCED EQUITIES ADVISORY SERVICES, INC. | ADVANCED CORPORATE PLANNING | ADVANCED CAPITAL MANAGEMENT | ADAMS FINANCIAL SERVICES, PA | ACM FINANCIAL SERVICES, INC. | ACCARDI FINANCIAL GROUP, INC. OF BOSTON | ACCARDI FINANCIAL GROUP, INC. | ACCARDI FINANCIAL GROUP OF THE PALM BEACHES | ABUNDANT LIFE INVESTMENTS | ABSOLUTE WEALTH ADVISORS, INC | A-1 FINANCIAL | 401(K) ALLIANCE | 1ST CRESCENT WEALTH MANAGEMENT...
CRD#: 137888 / SEC#: 801-66653
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Contact information
Main Address
655 W. Broadway 12th Floor, San Diego, CA 92101
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees
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.
