Sally E. Rogers

ROGERS CONSULTING ASSOCIATES

St. Louis, MO 63124

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CRD#: 4314969

Professional summary

Sally Estelle Rogers, who also goes by Sally Estelle Rogers, Sally Estelle Ulm, is a registered financial advisor currently at ROGERS CONSULTING ASSOCIATES, INC. located in St. Louis, Missouri.

Sally is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Sally has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sally Estelle Rogers | Sally Estelle Ulm

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.

ROGERS & ASSOCIATES P.C. CPA FIRM 15YRS POSITION IS CPA-SHAREHOLDER/DIRECTOR 100% DEVOTION

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sally Estelle 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®

None

Experience

Current

June 24, 2019 - Present

ROGERS CONSULTING ASSOCIATES, INC.

Office #1: 121 Hunter Ave, Suite 100, St. Louis, MO 63124

RIA

CRD#: 169931

St. Louis, MO

Past

December 12, 2000 - July 16, 2001

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

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

Missouri
(6/24/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/3/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/11/2000

General Securities Representative Examination

Current Firm

ROGERS CONSULTING ASSOCIATES, INC.

CRD#: 169931 / SEC#:

Missouri

Registered Investment Advisory firm - (1/1/2014 Approved)

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Contact information

Main Address

121 Hunter Ave, Suite 100, St. Louis, MO 63124

Mailing Address

Phone number

(314) 721-4443

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	63
AUM (Assets Under Management)	$ 75,190,400

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
09/29/2023	Cover Page	Report
11/07/2022	Cover Page	Report

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.

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Sally E. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sally Estelle Rogers's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROGERS CONSULTING ASSOCIATES, INC.

CETERA FINANCIAL SPECIALISTS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/3/2001

Series 7

Date: 12/11/2000

Current Firm

ROGERS CONSULTING ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ROGERS CONSULTING ASSOCIATES, INC.

TRUST BUT VERIFY

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