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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2020-09-21 |
Branch Locations
9200 West Union Hills Drive Suite 102, Peoria, AZ 85382 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Surprise | AZ | 07/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Surprise | AZ | 11/2016 | 09/2020 |
| Commonwealth Financial Network | Waltham | MA | 09/2020 | Present |
| Rogers Wealth Management | Peoria | AZ | 09/2020 | Present |
1. Co-owner, Arizona Alternative Materials, LLC; Environmental Materials; Located at Peoria, AZ; as of 05/2018; 0% of time spent during business hours; Not conducted at branch location; Not Investment related. 2. Fixed insurance sales; Located at 9200 West Union Hills Drive, Suite 102, Peoria, AZ 85382, as of 11/03/2020; 1% of time spent during business hours; Conducted at branch location; Investment related. 3. Owner, Rogers Wealth Management, a Private Entity established to facilitate Securities, advisory, and insurance Business; Located at 9200 West Union Hills Drive, Suite 102, Peoria, AZ 85382, as of 11/03/2020; 100% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-09-14 |
| S63 | Uniform Securities Agent State Law Examination | 1982-04-16 |
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