Charles C. Rogers

AZIMUTH WEALTH ADVISORS

San Diego, CA 92130

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CRD#: 4326780

Professional summary

Charles Courtney Rogers, CIMA®, who also goes by Charles C. Rogers, is a registered financial advisor currently at AZIMUTH WEALTH ADVISORS located in San Diego, California.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Charles has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles C. 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.

Glacierfish Ski Resort, LLC; Start Date: 05/25/21; Not investment-related; 1001 S. Main Street, Suite 600, Kalispell, MT 59901; holding company for real property; Mr. Rogers is a Member who spends about 1-2 hours per month in this role; no time spent during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Courtney 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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

October 20, 2017 - Present

AZIMUTH WEALTH ADVISORS

Office #1: 12636 High Bluff Drive Suite 400, San Diego, CA 92130

RIA

CRD#: 290050

San Diego, CA

Past

February 13, 2015 - December 31, 2017

DANIEL WEALTH ADVISORS

RIA

CRD#: 150382

SAN DIEGO, CA

Past

June 1, 2009 - February 27, 2015

MORGAN STANLEY

RIA

CRD#: 149777

PASADENA, CA

Past

June 1, 2009 - February 27, 2015

MORGAN STANLEY

CRD#: 149777

PASADENA, CA

Past

November 14, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

PASADENA, CA

Past

November 14, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

PASADENA, CA

Past

April 9, 2001 - November 18, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PASADENA, CA

Past

February 9, 2001 - November 18, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PASADENA, CA

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

California
(10/20/2017)

IAR

Texas
(12/1/2022)

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: 3/1/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/27/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/12/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/8/2001

General Securities Representative Examination

Current Firm

AZIMUTH WEALTH ADVISORS

AZIMUTH M&A ADVISORS | AZIMUTH WEALTH ADVISORS, LLC | AZIMUTH WEALTH ADVISORS

CRD#: 290050 / SEC#:

California

Registered Investment Advisory firm - (10/20/2017 Approved)

Texas

Registered Investment Advisory firm - (11/28/2022 Conditional Restricted)

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Contact information

Main Address

12636 High Bluff Drive Suite 400, San Diego, CA 92130

Mailing Address

Phone number

(858) 225-8210

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	72
AUM (Assets Under Management)	$ 39,011,403

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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Advisor Monitoring

Firm Stability Insights

Charles C. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Courtney Rogers's CRS (Customer Relationship Summary).

Certified licenses

Experience

DANIEL WEALTH ADVISORS

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 3/1/2001

SIE

Date: 2/27/2015

Series 31

Date: 3/12/2005

Series 7

Date: 2/8/2001

Current Firm

AZIMUTH WEALTH ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AZIMUTH WEALTH ADVISORS

TRUST BUT VERIFY

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