Richard W Rogers

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 08/2009 → 10/2016
  Investors Capital Corp
  Lynnfield, MA
• 03/2008 → Present
  Abbey Capital Llc
  Canton, MA
• 10/2016 → 07/2018
  Cetera Advisors Llc
  Denver, CO
• 07/2018 → 08/2023
  Lpl Financial Llc
  Boston, MA
• 08/2023 → Present
  Cetera Advisors Llc
  St Cloud, MN
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2018-07-24 → 2023-08-10
  Lpl Financial Llc
  Boston, MA
  Cranston, RI
  Canton, MA
  Milton, MA
• 2016-10-03 → 2018-07-19
  Cetera Advisors Llc
  Boston, MA
• 2009-10-21 → 2017-01-03
  Abbey Capital Llc
  Boston, MA
• 2009-09-08 → 2016-10-03
  Investors Capital Corp.
  Lynnfield, MA
  Lynnfield, MA
  Boston, MA
  Lynnfield, MA
• 2009-07-22 → 2009-09-01
  Mutual Service Corporation
  Braintree, MA
  Braintree, MA

Other Businesses

1. NAME OF OTHER BUSINESS: ABBEY CAPITAL LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 3/2008, POSITION/TITLE/RELATIONSHIP: OWNER/MANAGING PARTNER, APX NUMBER OF HOURS PER WEEK: 50, APX NUMBER OF HOURS DURING TRADING HOURS: 8, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S66 Uniform Combined State Law Examination
  2009-07-16
• S63 Uniform Securities Agent State Law Examination
  1992-01-15