Ross E. Rogers
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.
Ross Eugene Rogers was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 1977. Ross had worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 15, Series 5, Series 7, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2013 - June 24, 2021
U.S. BANCORP ADVISORS, LLC
April 26, 2013 - June 24, 2021
U.S. BANCORP ADVISORS, LLC
June 16, 2005 - March 7, 2013
COMERICA SECURITIES
June 16, 2005 - March 7, 2013
COMERICA SECURITIES
July 8, 2003 - October 28, 2003
MAXWELL SIMON, INC.
July 21, 1998 - November 16, 2001
U.S. BANCORP INVESTMENTS, INC.
August 1, 1995 - November 14, 2001
PIPER SANDLER & CO.
July 31, 1993 - August 14, 1995
CITIGROUP GLOBAL MARKETS INC.
August 26, 1985 - July 31, 1993
LEHMAN BROTHERS INC.
July 6, 1981 - September 6, 1985
FOSTER & MARSHALL INC.
September 26, 1978 - July 29, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 15
Date: 9/25/1986
Foreign Currency Options ExaminationSeries 5
Date: 6/6/1983
Interest Rate Options ExaminationSeries 12
Date: 8/15/1981
NYSE Branch Manager ExaminationCurrent Firm
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
