Peter Rogers, financial advisor Carlsbad CA
83 score

Peter Rogers

CRD Number: 4460011
Current Firm: Park Avenue Securities LLC

Peter Rogers (CRD# 4460011) is an Investment Advisor Representative working at Park Avenue Securities LLC in Carlsbad, CA and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Guardian Life Insurance Co Of America Carlsbad, CA Jan 2013 - Current 3
Guardian Life Insurance Co Of America Carlsbad, CA Jan 2013 - Current 3
Guardian Life Insurance Company Of America San Diego, CA Mar 2004 - Jan 2013 8
Park Avenue Securities San Diego, CA Mar 2004 - Jan 2013 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2001
S65 NASAA Investment Advisors Law Examination Sep 2002
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Peter N. Rogers
Phone Number: 1-888-600-4667
Registered State(s):
  • AZ
  • CO
  • FL
  • MI
  • MO
  • MT
  • NJ
  • PA
  • SC
  • TX
  • UT
  • WA
  • CA
  • VA
By the Numbers
  • Total Assets Under Management
    6,646
    MILLIONS
  • Total Number of Accounts
    39,311
    ACCOUNTS
  • Average Account Value
    $169,065
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription 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
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, 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, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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