James Rogers (CRD# 1624145) is an Investment Advisor Representative working at Roosevelt Investments in New York, NY and has over 26 years of experience in the finance industry.
CRD# 1420183
Financial Life Focus, LLC
CRD# 2708116
Park Avenue Securities LLC
CRD# 5146297
Origin Investment Advisory LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Foreside Financial Services, LLC | New York, NY | Feb 2024 - Current | < 1 |
| Segall Bryant & Hamill | New York, NY | May 2008 - Current | 15 |
| Corient Services LLC | Miami, FL | Jul 2023 - Dec 2023 | < 1 |
| Corient | Morristown, NJ | Feb 2023 - Dec 2023 | < 1 |
| Roosevelt Investments | New York, NY | Dec 2020 - Dec 2023 | 3 |
| Cipw Service Company, LLC | Toronto, | Jan 2022 - Jul 2023 | 1 |
| The Roosevelt Investment Group, Inc. | New York, NY | May 2007 - Dec 2020 | 13 |
| Unified Financial Securities, Inc. | Indianapolis, IN | Mar 2008 - Nov 2017 | 9 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S65 | NASAA Investment Advisors Law Examination | Feb 1998 |
| S63 | Uniform Securities State Law Examination | Apr 2024 |
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- NJ
- NY
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Total Assets Under Management2,693MILLIONS
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Total Number of Accounts1,125ACCOUNTS
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Average Account Value$2,393,381
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
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