Richard Rogers, financial advisor Winston Salem NC

Richard Rogers

CRD Number: 1260581
Current Firm: Stephens

Richard Rogers (CRD# 1260581) is an Investment Advisor Representative working at Stephens in Winston Salem, NC and has over 39 years of experience in the finance industry.

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Company Name Location Dates Years
Stephens Inc. Winston Salem, NC Jan 2011 - Current 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1984
S65 NASAA Investment Advisors Law Examination Oct 1991
Contact Info for Richard O. Rogers
Phone Number: 501-377-2000
Registered State(s):
  • NC
  • TX
By the Numbers
  • Total Assets Under Management
    13,305
    MILLIONS
  • Total Number of Accounts
    21,432
    ACCOUNTS
  • Average Account Value
    $620,789
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • 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)
  • 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, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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