AR
Andrew B. Rogers
CETERA INVESTMENT ADVISERS LLC
SCOTTSDALE, AZ 85253
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CRD#: 4491297
AR
Professional summary
Andrew Bain Rogers, who also goes by Andrew Rogers, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA ADVISORS LLC located in Scottsdale, Arizona.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Andrew has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew 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.
1. NAME OF OTHER BUSINESS: WILDE WEALTH MANAGEMENT GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2024 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 35 POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SERVICES TO CLIENTS 2. NAME OF OTHER BUSINESS: THREE PEAKS AZ INVESTMENT RELATED: NO ADDRESS: SAME AS RESDIDENTIAL ADDRESS NATURE OF BUSINESS: CARPENTRY BUSINESS START DATE: 06/2023 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: DOING CARPENTRY WORK
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Bain 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
August 5, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7025 N Scottsdale Rd, Ste 115 & 110, Scottsdale, AZ 85253RIA
CRD#: 105644
SCOTTSDALE, AZ
Current
August 5, 2024 - Present
CETERA ADVISORS LLC
Office #1: 7025 N Scottsdale Rd Ste 115 & 110, Scottsdale, AZ 85253BD
CRD#: 10299
Scottsdale, AZ
Past
April 7, 2021 - August 13, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Fort Lauderdale, FL
Past
October 19, 2010 - August 13, 2024
MORGAN STANLEY
BD
CRD#: 149777
Fort Lauderdale, FL
Past
March 15, 2007 - October 20, 2010
OPPENHEIMER & CO. INC.
BD
CRD#: 249
FORT LAUDERDALE, FL
Past
October 21, 2004 - March 15, 2007
MULTI-BANK SECURITIES, INC.
BD
CRD#: 22098
FT. LAUDERDALE, FL
Past
September 29, 2003 - October 22, 2004
COMMUNITY BANKERS SECURITIES, LLC
BD
CRD#: 42794
RICHMOND, VA
Past
July 18, 2002 - September 17, 2003
CAMBRIDGE GROUP INVESTMENTS, LTD.
BD
CRD#: 47399
LANSING, MI
Past
March 12, 2002 - July 17, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
Arizona(8/7/2024)
IAR
Arizona(8/7/2024)
RR
California(8/5/2024)
RR
Connecticut(8/6/2024)
RR
Florida(8/6/2024)
RR
Georgia(8/14/2024)
RR
Idaho(8/5/2024)
RR
Kansas(8/7/2024)
RR
Maryland(8/8/2024)
RR
Michigan(8/14/2024)
RR
Missouri(8/6/2024)
RR
Nevada(8/7/2024)
RR
New Jersey(8/8/2024)
RR
New York(8/8/2024)
RR
North Carolina(8/20/2024)
RR
Ohio(8/5/2024)
RR
Oklahoma(2/13/2025)
RR
Oregon(9/12/2024)
RR
Texas(8/5/2024)
IAR
Texas(8/5/2024)
RR
Virginia(8/7/2024)
RR
Washington(8/16/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
