Warren G. Rogers Ii

CETERA INVESTMENT ADVISERS LLC

BRENTWOOD, TN 37027

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CRD#: 4599841

Professional summary

Warren G Rogers Ii, who also goes by Geoffery Rogers, Jeff Rogers, Warren G Rogers II, Warren Geoffery Rogers Ii, Warren Geoffery Rogers, Jeff Rogers, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brentwood, Tennessee and CETERA INVESTMENT SERVICES LLC located in Brentwood, Tennessee.

Warren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Warren has worked at 12 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Warren G Rogers Ii's CRS (Customer Relationship Summary).

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

November 3, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1729 Mallory Ln, Brentwood, TN 37027

RIA

CRD#: 105644

BRENTWOOD, TN

Current

November 2, 2020 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1729 Mallory Ln, Brentwood, TN 37027

CRD#: 15340

Brentwood, TN

Past

March 28, 2019 - October 22, 2020

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

NASHVILLE, TN

Past

March 28, 2019 - October 22, 2020

FIFTH THIRD SECURITIES, INC.

CRD#: 628

NASHVILLE, TN

Past

November 10, 2016 - March 15, 2019

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

BRENTWOOD, TN

Past

August 19, 2015 - March 15, 2019

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

BRENTWOOD, TN

Past

March 18, 2015 - August 10, 2015

FIFTH THIRD SECURITIES, INC.

CRD#: 628

FRANKLIN, TN

Past

October 1, 2012 - March 11, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

WELLINGTON, FL

Past

February 8, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

WELLINGTON, FL

Past

February 27, 2008 - February 3, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WEST PALM BEACH, FL

Past

August 29, 2003 - November 10, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PALM BEACH, FL

Past

July 25, 2003 - November 10, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 15, 2003 - July 28, 2003

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

May 19, 2003 - May 27, 2003

AMEREST SECURITIES, INC.

CRD#: 40201

DALLAS, TX

Past

January 3, 2003 - May 14, 2003

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(11/2/2020)

Colorado
(5/3/2022)

Florida
(11/2/2020)

Georgia
(11/2/2020)

Illinois
(11/2/2020)

Iowa
(11/29/2021)

Kentucky
(11/2/2020)

Louisiana
(11/2/2020)

Michigan
(11/2/2020)

Mississippi
(11/2/2020)

North Carolina
(11/2/2020)

Ohio
(11/2/2020)

South Carolina
(11/2/2020)

Tennessee
(11/2/2020)

IAR

Tennessee
(11/3/2020)

Texas
(11/2/2020)

IAR

Texas
(1/12/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/10/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/3/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/22/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/26/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/26/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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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Advisor Monitoring

Firm Stability Insights

Warren G. Rogers Ii

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Warren G Rogers Ii's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

MSI FINANCIAL SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

AMERIPRISE ADVISOR SERVICES, INC.

AMEREST SECURITIES, INC.

GUNNALLEN FINANCIAL, INC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/10/2016

Series 63

Date: 4/3/2015

Series 66

Date: 8/22/2003

SIE

Date: 10/1/2018

Series 7

Date: 6/26/2018

Series 6

Date: 2/26/2008

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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