Nicole Rogers, financial advisor Austin TX
90 score

Nicole Rogers

CRD Number: 5947468
Current Firm: Usca Ria LLC

Nicole Rogers (CRD# 5947468) is an Investment Advisor Representative working at Usca Ria LLC in Austin, TX and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors LLC Austin, TX Jun 2011 - Current 5
Bbva Compass Lakeway, TX Jul 2010 - Jun 2011 < 1
Wells Fargo Bank Austin, TX Dec 2009 - Jul 2010 < 1
Wachovia Austin, TX Feb 2009 - Dec 2009 < 1
Wachovia Austin, TX Jun 2008 - Feb 2009 < 1
Wachovia Lakeway, TX Feb 2008 - Jun 2008 < 1
Dell Marketing Usa LP Round Rock, TX Jul 2007 - Feb 2008 < 1
Unemployed Austin, TX Jun 2007 - Jul 2007 < 1
Real Property Counselors, Inc. Austin, TX May 2005 - May 2007 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2011
Contact Info for Nicole N. Rogers
Phone Number: 713-366-0500
Firm Website: http://www.uscallc.com
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    1,802
    MILLIONS
  • Total Number of Accounts
    3,932
    ACCOUNTS
  • Average Account Value
    $458,197
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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