Charles 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.
Charles Ellis Rogers JR, who also goes by Buck Rogers, Charles E Rogers Jr, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1978. Charles had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2015 - March 7, 2017
CAPITAL ANALYSTS
June 25, 2012 - March 7, 2017
LINCOLN INVESTMENT
June 25, 2012 - March 7, 2017
LINCOLN INVESTMENT
March 11, 2011 - May 11, 2012
EDWARD JONES
March 11, 2011 - May 11, 2012
EDWARD JONES
October 23, 2009 - March 11, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 10, 2002 - October 20, 2004
QUICK & REILLY, INC.
October 1, 2000 - August 19, 2002
WELLS FARGO CLEARING SERVICES, LLC
December 21, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
August 21, 1998 - May 3, 1999
PRUCO SECURITIES, LLC.
September 6, 1978 - September 27, 1988
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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 1
Date: 8/31/1978
Registered Representative ExaminationCurrent Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
