Jay Rogers, financial advisor Irvine CA

Jay Rogers

CRD Number: 2680261
Current Firm: Equinox Securities, Inc.

Jay Rogers is an investment management professional and entrepreneur with over two decades in the financial services industry. His financial background began with a career on the sell side with such firms as Morgan Stanley, Wells Fargo and Bear Stearns. He later worked as Chief Investment Officer for a family office and made his transition to the buy side with a long only growth equity manager. For several years he also worked for an independent third party marketing firm raising money in both traditional and alternative asset classes. 

 

Jay is a trusted advisor to several family offices and is instrumental in syndicating private investment opportunities among family offices and institutional investors nationwide. These opportunities include real estate, private equity, and venture capital.

 

Jay acts as advisor to several Native American Tribal Nations in the area of economic development and investment opportunities.  An advocate for tribal independence he has provided financial solutions to several tribes and is the founder of the Native Made Foundation, championing the purchase of goods and services originating on Native American Reservations.

 

Jay is also a frequent speaker at industry events on family office and alternative investment issues. He has appeared on CNN’s Your Money and is frequently quoted and interviewed for financial publications including the Wall Street Journal, Bloomberg News and NPR. He has presented to audiences at IMN, Opal Financial, IvyPlus, World Research Congress, Alternative Assets Summit and other investment conferences around the country.  Jay is also a guest lecturer at USC Marshall School of Business.  Jay also provides expert witness testimony for litigation involving securities industry issues.

 

Jay holds a BS from Northeastern University and is also a graduate of the USMC Officer Candidate School in Quantico, VA.  He holds multiple securities licenses and has completed professional courses in Advanced Estate Planning, Asset Allocation, and Retirement Planning. He is a member of the CFA Institute and the CFA Society of Orange County (CFAOC). Currently residing in Ladera Ranch with his wife and three sons, he is active in his local community as President of the Board of Directors for Ladera Ranch Community Services (LARCS), a community services organization. Mr. Rogers is also an Assistant Scoutmaster for Boy Scout Troop 636 and is a member of the National Eagle Scout Association and the Order of the Arrow.

 

2012 International Hedge Fund Awards – Rising Star of Hedge Funds

2013 AI Finance Awards winner – Investment Consultancy (California)

2014 International Hedge Fund Awards – Family Office Choice: Consultancy Firm of the Year

2014 International Hedge Fund Awards – Sustained Excellence Award – Hybrid Private Equity/Hedge Fund Advisory Firm of the Year

2015 M&A Awards – Excellence in Private Equity Investments – USA

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Company Name Location Dates Years
Equinox Securities, Inc. Redlands, CA Oct 2014 - Current 6
Dinosaur Securities, LLC New York, NY Apr 2013 - Current 7
First Liberties Financial New York, NY Nov 2012 - Current 8
Ascendiant Securities, LLC Irvine, CA Aug 2011 - Current 9
T.r. Winston & Company, LLC Los Angelesa, CA Jun 2010 - Current 10
Alpha Strategies Investment Consulting Ladera Ranch, CA Aug 2009 - Current 11
Independent Financial Marketing Pasadena, CA Jun 2006 - Current 14
Diamond Portfolio Advisors, LLC Los Angeles, CA Nov 2003 - Current 17
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Jan 1996
S7 General Securities Representative Examination (GS) Oct 2010
S63 Uniform Securities State Law Examination Jan 2011
S24 General Securities Principal Examination (GP) Jan 2016
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.

Get Details on the FINRA Advisor Check site
Contact Info for Jay L. Rogers
Phone Number: 909-335-7440
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    18
    MILLIONS
  • Total Number of Accounts
    60
    ACCOUNTS
  • Average Account Value
    $293,663
Compensation Options
  • A percentage of assets under your management
  • Commissions
Advisory Services Offered
  • 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)
Types of Clients
Registered States

CA

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