Simon Rogers, financial advisor Harrisburg PA
93 score

Simon Rogers

CRD Number: 4502929
Current Firm: Ae Wealth Management, LLC

Simon Rogers (CRD# 4502929) is an Investment Advisor Representative working at Ae Wealth Management, LLC in Harrisburg, PA and has over 16 years of experience in the finance industry.

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Company Name Location Dates Years
Ae Wealth Management, LLC Topeka, KS Jul 2017 - Current < 1
Basildon Tax Services Harrisburg, PA Dec 2011 - Current 6
Basildon Financial Harrisburg, PA Mar 2007 - Current 11
Alphastar Capital Management, LLC Cornelius, NC Jul 2013 - Jul 2017 4
Alpha Planning & Financial Services, Inc. Solon, OH Jan 2009 - Jul 2013 4
Ohio National Financial Services Cincinnati, OH Feb 2007 - Dec 2008 1
The O.n. Equity Sales Company Cincinnati, OH Feb 2007 - Dec 2008 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 2002
S65 NASAA Investment Advisors Law Examination Jan 2009
Contact Info for Simon J. Rogers
Phone Number: 866-363-9595
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    2,003
    MILLIONS
  • Total Number of Accounts
    10,040
    ACCOUNTS
  • Average Account Value
    $199,500
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)
  • Publication of periodicals or newsletters
  • 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, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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