Frank C Rogers

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Greenwich, CT
• 12/2009 → Present
  Bank Of America, N.A.
  Greenwich, CT

Previous Registrations

• 2005-06-06 → 2009-08-20
  Wells Fargo Clearing Services, Llc
  Darien, CT
  Darien, CT
  White Plains, NY
  Darien, CT

Other Businesses

1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION2.NAME OF OUTSIDE BUSINESS ORGANIZATION: THE HEAD RATTLERS3.INVESTMENT RELATED: N4.ADDRESS OF BUSINESS:GREENWICH, CONNECTICUT 68315.NATURE OF BUSINESS: OTHER,SOLE PROPRIETORSHIP7.POSITION, TITLE, ASSOCIATION: PARTICIPANT, 8.START DATE OF RELATIONSHIP: 5/26/20139.NUMBER OF HOURS DEVOTED: 50 HOUR(S) ANNUALLY10.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 011.DUTIES: MUSICIAN. I*1743284Entity For ProfitName of OBA: Frank Rogers and the Sound CatsAddress: Stamford, Connecticut, 06903Investment Related: NoPosition, Title, Association: OtherEmployee Start Date: 03/15/2024No Hours: 5No Hours during trading: 0Duties:Musical Performances for local Charities and parties

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-05-27
• S63 Uniform Securities Agent State Law Examination
  1994-07-06

Other Names

• Frank Clinton Rogers
• Frank C Rogers
• Frank Clinton Rogers