DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Kerry D Rogers
Feed of 09/14/2026
Also filed as Kerry Dean Rogers
At current firm
4 y
since Jul 20, 2022
In the industry
27 y
since Oct 23, 1998 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Principal Securities, Inc. BD affiliated currentsince Jul 20, 2022 · Chesterfield, Mo
- Planmember Securities Corporation independent RIAOct 30, 2017 to Jul 18, 2022 · Chesterfield, Mo
- Clark Financial Services Group, Inc. independent RIAMay 19, 2017 to Aug 25, 2017 · Chesterfield, Mo
- Cutter & Company, Inc. formerMay 4, 2009 to Dec 31, 2010 · Chesterfield, Mo
- LPL Financial LLC BD affiliatedJun 5, 2007 to May 11, 2009 · St. Louis, Mo
- UBS Financial Services Inc. wirehouseOct 1, 2004 to Oct 12, 2007 · Chesterfield, Mo
- Citigroup Global Markets Inc. BD affiliatedFeb 3, 1999 to Oct 14, 2004 · Clayton, Mo
Moves
a registration end followed by a registration begin elsewhere
- Planmember Securities Corporation to Principal Securities, Inc.left Jul 18, 2022, registered Jul 20, 2022 (2 days) · RIA to affiliated broker-dealer or bank
- Clark Financial Services Group, Inc. to Planmember Securities Corporationleft Aug 25, 2017, registered Oct 30, 2017 (66 days) · Other
- Cutter & Company, Inc. to Clark Financial Services Group, Inc.left Dec 31, 2010, registered May 19, 2017 (2331 days) · Other
- LPL Financial LLC to Cutter & Company, Inc.left May 11, 2009, registered May 4, 2009 (-7 days) · Other
- UBS Financial Services Inc. to LPL Financial LLCleft Oct 12, 2007, registered Jun 5, 2007 (-129 days) · Other
- Citigroup Global Markets Inc. to UBS Financial Services Inc.left Oct 14, 2004, registered Oct 1, 2004 (-13 days) · Other
Signals
- Kerry D Rogers left Planmember Securities Corporation for Principal Securities, Inc. (registered 2022-07-20)Jul 18, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address