Richard James Rogers

Current Employers

Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2022-08-19
TX	RA	APPROVED	2022-08-19

CO RA
APPROVED

Since 2022-08-19
TX RA
APPROVED

Since 2022-08-19

Branch Locations

Carbondale, CO • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Frontier Wealth Management Llc	Lone Tree	CO	01/2015	07/2022
Capfinancial Partners, Llc (Captrust)	Raleigh	NC	07/2022	Present

01/2015 → 07/2022

Frontier Wealth Management Llc

Lone Tree, CO
07/2022 → Present

Capfinancial Partners, Llc (Captrust)

Raleigh, NC

Previous Registrations

2015-04-20 → 2022-10-21

Fwm Legacy, Llc

Lone Tree, CO

Leawood, KS
2003-04-02 → 2015-03-25

Comprehensive Personal Financial Advisors

Greenwood Village, CO
2000-01-27 → 2003-03-26

Deloitte Investment Advisors Llc

Denver, CO

Other Businesses

1. Otto Aviation Group, LLC , not investment related, 2365 via del Rio, Yorba Linda, CA, Board Member, 12/1/2009, 20 hours per month, 15 during market hours.. 2. CPFA LLC; 1179 Heritage Dr., Carbondale CO; not investment related; Started 2/1/2002; 1 hour per month, 1 hour during trading; monthly review of financials for one business.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-12-03

S65 Uniform Investment Adviser Law Examination

1998-12-03

Designations

Other Names

Richard J Rogers

View on SEC IAPD