James M. Rogers

AURELIUS FAMILY OFFICE

Shreveport, LA

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CRD#: 6101155

Professional summary

James Morgan Rogers, who also goes by J Morgan Rogers, J Morgan Rogers, J. Morgan Rogers, J. Rogers, James M. Rogers, James Morgan Rogers, James Rogers, Morgan Rogers, is a registered financial advisor currently at AURELIUS FAMILY OFFICE, LLC located in Shreveport, Louisiana.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. James has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10, Series 9, Series 4 and Series 24 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 James Morgan Rogers'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

February 21, 2023 - Present

AURELIUS FAMILY OFFICE, LLC

RIA

CRD#: 323016

Shreveport, LA

Past

April 14, 2021 - October 6, 2022

ACCELERATED WEALTH ADVISORS LLC

RIA

CRD#: 170022

COLORADO SPRINGS, CO

Past

May 6, 2014 - October 23, 2015

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

ST. PETERSBURG, FL

Past

May 2, 2014 - October 23, 2015

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

November 7, 2013 - April 29, 2014

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

TAMPA, FL

Past

November 1, 2013 - April 29, 2014

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

TAMPA, FL

Past

November 6, 2012 - September 10, 2013

EDWARD JONES

RIA

CRD#: 250

ST PETERSBURG, FL

Past

September 13, 2012 - September 10, 2013

EDWARD JONES

CRD#: 250

ST PETERSBURG, 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".

AURELIUS FAMILY OFFICE, LLC

CRD#: 323016 / SEC#: 801-126682

RIA

Registered Investment Advisory firm - (10/3/2022 Approved)

Illinois

Registered Investment Advisory firm - (2/15/2023 Terminated)

Ohio

Registered Investment Advisory firm - (2/15/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Colorado
(2/21/2023)

IAR

Louisiana
(8/12/2025)

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: 11/5/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/23/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/12/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/9/2015

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/18/2014

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 12/11/2014

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/8/2014

General Securities Principal Examination

Current Firm

AURELIUS FAMILY OFFICE, LLC

CRD#: 323016 / SEC#: 801-126682

RIA

Registered Investment Advisory firm - (10/3/2022 Approved)

Illinois

Registered Investment Advisory firm - (2/15/2023 Terminated)

Ohio

Registered Investment Advisory firm - (2/15/2023 Terminated)

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Contact information

Main Address

3 Executive Park Drive Suite 261, Bedford, NH 03110

Mailing Address

Phone number

(603) 413-6060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AURELIUS FAMILY OFFICE, LLC ADV BROCHURE (9/15/2025)

Regulatory assets under management

Total Number of Accounts	660
AUM (Assets Under Management)	$ 265,861,275

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/04/2025	Cover Page	Report
08/01/2024	Cover Page	Report
02/15/2024	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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Firm Stability Insights

James M. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Morgan Rogers's CRS (Customer Relationship Summary).

Certified licenses

Experience

ACCELERATED WEALTH ADVISORS LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

AURELIUS FAMILY OFFICE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/5/2012

SIE

Date: 10/23/2015

Series 7

Date: 9/12/2012

Series 10

Date: 1/9/2015

Series 9

Date: 12/18/2014

Series 4

Date: 12/11/2014

Series 24

Date: 10/8/2014

Current Firm

AURELIUS FAMILY OFFICE, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AURELIUS FAMILY OFFICE, LLC

TRUST BUT VERIFY

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