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Lewis Harold Rogers

Raymond James & Associates, Inc.

Dallas, TX

CRD 402843

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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 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
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2013-02-13
  • TX RA
    APPROVED
    Since 2013-02-13

Branch Locations

5956 Sherry Lane Suite 1900, Dallas, TX 75225 • 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
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Dallas TX 02/2013 Present
Previous Registrations
  • 1996-08-20 → 2013-02-13
    Morgan Keegan & Company, Llc
    Dallas, TX
    Dallas, TX
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-08-13
  • S63 Uniform Securities Agent State Law Examination
    1987-08-13
Other Names
  • Buddy Rogers

View on SEC IAPD

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