Jonathan Edward 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:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2024-03-21

MA RA
APPROVED

Since 2024-03-21

Branch Locations

Scituate, MA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Investors Capital Corporation	Lynnfield	MA	11/2003	10/2016
Abbey Capital Llc	Braintree	MA	10/2009	07/2018
Cetera Advisors Llc	Denver	CO	10/2016	Present
Abbey Capital Financial Management	Scituate	MA	07/2018	Present
Cetera Investment Advisers Llc	Schaumburg	IL	03/2024	Present

11/2003 → 10/2016

Investors Capital Corporation

Lynnfield, MA
10/2009 → 07/2018

Abbey Capital Llc

Braintree, MA
10/2016 → Present

Cetera Advisors Llc

Denver, CO
07/2018 → Present

Abbey Capital Financial Management

Scituate, MA
03/2024 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2009-10-21 → 2017-01-03

Abbey Capital Llc

Boston, MA
2004-10-06 → 2016-10-03

Investors Capital Corp.

Lynnfield, MA

Scituate, MA

Boston, MA

Lynnfield, MA

Lynnfield, MA

Scituate, MA

Lynnfield, MA

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/2018; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: ABBEY CAPITAL FINANCIAL MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE AND FINANCIAL SERVICES; START DATE: 07/2018; POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FIXED INSURANCE AND FINANCIAL SERVICES; 3. RELIGIOUS ORGANIZATION, THE FRIENDS OF ST.FRANCIS X. CABRINI, INC., 27 HOOD ROAD, P.O. BOX 129, SCITUATE, MA 02066. SPOKESPERSON, 10,2004. HRS/MONTH: 4, HARS/TRADING: 0

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-10-01
S65	Uniform Investment Adviser Law Examination	1995-08-04
S63	Uniform Securities Agent State Law Examination	1995-07-20

S66 Uniform Combined State Law Examination

2004-10-01
S65 Uniform Investment Adviser Law Examination

1995-08-04
S63 Uniform Securities Agent State Law Examination

1995-07-20

Other Names

Jon Rogers
Jonathan E Rogers

View on SEC IAPD