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RANDALL SCOTT ROGERS
RANDALL ROGERS
CRD#: 2176463
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 100 SALEM STREET
SMITHFIELD, RI 02917
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 WAUNAKEE, WI
Registration History
19952000200520102015202020252 FIRMS2018 - 2019 (1 year)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2022 - Present (3 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2021 - Present (3 years)BWAYPOINT DIRECT INVESTMENTS, LLC (CRD# 132475)2019 - 2021 (2 years)BGOLDMAN, SACHS & CO. (CRD# 361)1996 - 2013 (16 years)BGOLDMAN SACHS MONEY MARKETS, L.P. (CRD# 28613)1991 - 1996 (5 years)BGOLDMAN SACHS MONEY MARKETS INC. (CRD# 13821)1991 - 1991 (<1 year)
License(s)

State Registrations

B
Alabama 12/3/2021

B
Nevada 12/3/2021

B
Alaska 12/3/2021

B
New Hampshire 12/3/2021

B
Arizona 12/3/2021

B
New Jersey 12/3/2021

B
Arkansas 12/3/2021

B
New Mexico 12/3/2021

B
California 12/3/2021

B
New York 12/3/2021

B
Colorado 12/3/2021

B
North Carolina 12/3/2021

B
Connecticut 12/3/2021

B
North Dakota 12/3/2021

B
Delaware 12/3/2021

B
Ohio 12/6/2021

B
District of Columbia 12/3/2021

B
Oklahoma 12/3/2021

B
Florida 12/3/2021

B
Oregon 12/3/2021

B
Georgia 12/3/2021

B
Pennsylvania 12/3/2021

B
Hawaii 12/3/2021

B
Puerto Rico 12/3/2021

B
Idaho 12/3/2021

B
Rhode Island 12/3/2021

B
Illinois 12/3/2021

IA
Rhode Island 1/20/2022

B
Indiana 12/3/2021

B
South Carolina 12/3/2021

B
Iowa 12/3/2021

B
South Dakota 12/3/2021

B
Kansas 12/3/2021

B
Tennessee 12/3/2021

B
Kentucky 12/3/2021

B
Texas 12/3/2021

B
Louisiana 12/3/2021

IA
Texas 1/20/2022

B
Maine 12/3/2021

B
Utah 12/3/2021

B
Maryland 12/3/2021

B
Vermont 12/3/2021

B
Massachusetts 10/26/2021

B
Virgin Islands 12/3/2021

B
Michigan 12/3/2021

B
Virginia 12/3/2021

B
Minnesota 12/3/2021

B
Washington 12/3/2021

B
Mississippi 12/3/2021

B
West Virginia 12/3/2021

B
Missouri 12/3/2021

B
Wisconsin 12/3/2021

B
Montana 12/3/2021

IA
Wisconsin 5/4/2023

B
Nebraska 12/3/2021

B
Wyoming 12/3/2021

SRO Registrations

B
FINRA

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
100 SALEM STREET, SMITHFIELD, RI 02917
Registered with this firm since 1/20/2022

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
WAUNAKEE, WI
Registered with this firm since 10/26/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
B
07/12/2019 - 07/01/2021 WAYPOINT DIRECT INVESTMENTS, LLC (CRD#:132475) STAMFORD, CT
IA
04/24/2018 - 07/10/2019 UHLMANN INVESTMENT MANAGEMENT, L.L.C. (CRD#:118025) CHICAGO, IL
B
03/09/2018 - 07/10/2019 UHLMANN PRICE SECURITIES, LLC (CRD#:42854) SKOKIE, IL
B
10/01/1996 - 04/19/2013 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
B
10/25/1991 - 10/01/1996 GOLDMAN SACHS MONEY MARKETS, L.P. (CRD#:28613)
B
10/04/1991 - 10/25/1991 GOLDMAN SACHS MONEY MARKETS INC. (CRD#:13821)
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.