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Phillip Robert Rogers

Stifel, Nicolaus & Company, Incorporated

Memphis, TN

CRD 4497846

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2017-10-30
TX RA APPROVED 2017-10-30
  • TN RA
    APPROVED
    Since 2017-10-30
  • TX RA
    APPROVED
    Since 2017-10-30

Branch Locations

6075 Poplar Avenue, Suite 625 & 628, Memphis, TN 38119 • 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
Wunderlich Securities, Inc. Memphis TN 04/2015 10/2017
Stifel Nicolaus & Co Inc Memphis TN 10/2017 Present
  • 04/2015 → 10/2017
    Wunderlich Securities, Inc.
    Memphis, TN
  • 10/2017 → Present
    Stifel Nicolaus & Co Inc
    Memphis, TN
Previous Registrations
  • 2015-04-17 → 2017-11-10
    B. Riley Wealth Management
    Memphis, TN
  • 2010-01-26 → 2015-04-21
    Southstate Securities Corp.
    Memphis, TN
    Memphis, TN
    Memphis, TN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-05-19
S63 Uniform Securities Agent State Law Examination 2002-03-20
  • S65 Uniform Investment Adviser Law Examination
    2009-05-19
  • S63 Uniform Securities Agent State Law Examination
    2002-03-20

View on SEC IAPD

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