Stephen A. Rogers

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2008 → 12/2016
  Nexus Communications
  Columbus, OH
• 09/2008 → 08/2019
  Ohio Dominican University
  Columbus, OH
• 04/2008 → 08/2019
  Star Packaging
  Columbus, OH
• 11/2008 → 08/2019
  Jc Wealth Management Group
  Lacaster, OH
• 03/2014 → 08/2019
  Jcc Insurance Services, Llc
  Lancaster, OH
• 09/2014 → 08/2019
  Voya Financial Advisors
  Columbus, OH
• 08/2019 → 03/2025
  Lpl Financial Llc
  Upper Arlington, OH
• 08/2019 → 02/2025
  Heartland Bank
  Upper Arlington, OH
• 03/2026 → Present
  Lpl Financial Llc
  Columbus, OH
• 03/2025 → 03/2026
  Unemployed
  Columbus, OH

Previous Registrations

• 2019-08-14 → 2025-03-06
  Lpl Financial Llc
  Upper Arlington, OH
  Florence, KY
  Ft Mitchell, KY
  Ft Thomas, KY
  Columbus, OH
  Gahanna, OH
• 2004-11-23 → 2019-08-14
  Voya Financial Advisors, Inc.
  Lancaster, OH
  Grafton, MA
  Hilliard, OH
  Dublin, OH
  Dublin, OH
• 2003-07-31 → 2004-11-30
  Mony Securities Corporation
  Columbus, OH

Other Businesses

1. 03/2026 - Birch Tree Wealth Management - DBA for LPL Business (entity for LPL business) - Investment related - At Reported Business Location(s) - 160 Hrs/Mth - 160 Hrs During Trading - OBA start date: 3/31/2026

Exams

• S63 Uniform Securities Agent State Law Examination
  2002-06-18

Designations

• Certified Financial Planner