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Inactive

Michael Lance Rogers

Filice Retirement Services

San Jose, CA

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Current Employers
Filice Retirement Services

1762 Technology Drive Suite 128, San Jose, CA 95110 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-01
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

1762 Technology Drive Suite 128, San Jose, CA 95110 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Creative Planning Morgan Hill CA 04/2016 Present
Filice Retirement Services San Jose CA 09/2017 Present
Mlr Retirement Services Morgan Hill CA 01/2017 Present
Previous Registrations
  • 2017-09-12 → 2025-12-31
    Mlr Retirement Services
    Campbell, CA
  • 2016-04-06 → 2016-08-29
    Creative Planning
    Morgan Hill, CA
    Overland Park, KS
  • 2015-01-13 → 2016-03-16
    Bpm Advisors, Inc.
    San Jise, CA
    Palo Alto, CA
  • 2012-08-15 → 2014-12-31
    Bpm Advisors, Inc.
    Palo Alto, CA
  • 2009-04-15 → 2012-07-31
    Vista Wealth Management, Llc
    Palo Alto, CA
  • 2008-01-15 → 2009-03-06
    Bpm Wealth Management, Llc
    San Francisco, CA
  • 2007-01-01 → 2007-05-04
    Stancorp Investment Advisers, Inc.
    Portland, OR
  • 2004-06-24 → 2007-01-01
    Invesmart Advisors Inc
    San Jose, CA
Other Businesses

Filice Retirement Services, investment adviser, 60% of time since 09/01/2017 to present. 1762 Technology Drive, Suite 226, San Jose, CA 95110

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-09-06
S65 Uniform Investment Adviser Law Examination 2004-06-23
  • S63 Uniform Securities Agent State Law Examination
    2005-09-06
  • S65 Uniform Investment Adviser Law Examination
    2004-06-23

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
PFG ADVISORS
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
WELLS FARGO CLEARING SERVICES, LLC
EQUITABLE ADVISORS, LLC
ROLO VENTURES MANAGEMENT LLC
TIGER & BULLDOG MANAGEMENT, LLC
HICKOK ADVISORY, LLC

Other Investors

Ryan Leiby
Adrian Baker
Bianca N. Cross
Jonathan A Stoft
BAO DINH
Luke Maura
BEN Wolff KRUGMAN
DANIEL ROY OWENS

Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

More in San Jose, CA

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