Steven Alan Rogers

Current Employers

Employment History

• 01/2016 → 12/2017
  Bbva Compass Insurance Agency, Inc.
  Austin, TX
• 12/2015 → 12/2017
  Bbva Securities Inc.
  Albuquerque, NM
• 11/2015 → 12/2017
  Compass Bank
  Birmingham, AL
• 01/2016 → 12/2017
  Bbva Wealth Solutions Inc.
  Albuquerque, NM
• 04/2018 → 11/2018
  Signator Inv Inc
  Albuquerque, NM
• 01/2018 → 03/2018
  Not Employed
  Albuquerque, NM
• 11/2018 → 11/2025
  Royal Alliance Associates, Inc.
  Albuquerque, NM
• 11/2025 → Present
  Lpl Financial Llc
  Albuquerque, NM

Previous Registrations

• 2018-11-02 → 2025-11-07
  Osaic Wealth, Inc.
  Albuquerque, NM
• 2018-05-03 → 2018-11-02
  Signator Investors, Inc.
  Albuquerque, NM
• 2016-01-14 → 2017-12-19
  Pnc Managed Account Solutions, Inc.
  Albuquerque, NM
• 2011-01-03 → 2015-11-20
  Wells Fargo Clearing Services, Llc
  Minneapolis, MN
  Albuquerque, NM
  Albuquerque, NM
  Charlotte, NC
• 2005-05-25 → 2011-01-03
  Wells Fargo Investments, Llc
  Albuquerque, NM
  Albuquerque, NM

Other Businesses

1. 10/2025 - Mark J Napolin and Associates, Inc - DBA for LPL Business (entity for LPL business) - Inv Related - 90 Hour(s)/Month - 80 Hour(s) During Trading - At Reported Business Location (s) - OBA Start Date: 10/28/2025 2. 10/2025 - Spring Creek Management LLC - Business Entity For Tax/Investment Purposes Only - Not Inv Related - 10 Hour(s)/Month - 0 Hour(s) During Trading - Albuquerque NM 87122 - OBA Start Date: 05/30/2018 3. 10/2025 - Jumpstart NM for Personal Financial LIteracy - Non-Profit Board Member - Not Inv Related - 4 Hour(s)/Month - 0 Hour(s) During Trading - Albuquerque NM 87125 - OBA Start Date: 03/15/2009

Exams

• S66 Uniform Combined State Law Examination
  2005-05-23