Judy C. Rogers

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CRD#: 6999244

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Judy C Rogers, who also goes by Judy C Jones, was a registered financial professional .

Judy is a previously registered financial professional and started their career in finance in 2018. Judy had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Judy C Jones

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 24, 2018 - January 7, 2021

CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

CRD#: 110643

CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

CRD#: 110643 / SEC#: , 8-53149

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1520 South Boulevard, Suite 230, Charlotte, NC 28203

Mailing Address

1520 South Boulevard, Suite 230, Charlotte, NC 28203

Phone number

(704) 332-3131

Established

North Carolina since 11/15/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MORIN, MICHAEL LEWIS	PARTNER/VICE PRESIDENT	2951550
RIVERS, JAMES CALVIN JR	PARTNER	1067542
THE KENNETH LEE CARTER, JR. REVOCABLE TRUST	TRUST
DOUGLASS, REBECCA GENTRY	PARTNER	1213829
CARTER, KENNETH LEE JR	PARTNER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TRUSTEE	2822127
YAGER, SHERRI LYNN	CHIEF COMPLIANCE OFFICER	2660363

Red Flags

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