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WARREN G ROGERS II
GEOFFERY ROGERS, JEFF ROGERS, WARREN G ROGERS II, WARREN GEOFFERY ROGERS II, WARREN GEOFFERY ROGERS…
CRD#: 4599841
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1729 MALLORY LN
BRENTWOOD, TN 37027
CETERA INVESTMENT SERVICES LLCCRD#: 15340 1729 MALLORY LN
BRENTWOOD, TN 37027
Registration History
2004200620082010201220142016201820202022202420265 FIRMS2003 - 2003 (<1 year)2 FIRMS2019 - 2020 (1 year)2 FIRMS2020 - Present (4 years)BSUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2015 - 2019 (3 years)BFIFTH THIRD SECURITIES, INC. (CRD# 628)2015 - 2015 (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2015 (2 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2010 - 2012 (2 years)BMETLIFE SECURITIES INC. (CRD# 14251)2008 - 2010 (2 years)IASUNTRUST ADVISORY SERVICES, INC. (CRD# 283390)2016 - 2019 (2 years)
Disclosure(s)
View By:
10/13/2022
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 11/2/2020

B
Mississippi 11/2/2020

B
Colorado 5/3/2022

B
North Carolina 11/2/2020

B
Florida 11/2/2020

B
Ohio 11/2/2020

B
Georgia 11/2/2020

B
South Carolina 11/2/2020

B
Illinois 11/2/2020

B
Tennessee 11/2/2020

B
Iowa 11/29/2021

IA
Tennessee 11/3/2020

B
Kentucky 11/2/2020

B
Texas 11/2/2020

B
Louisiana 11/2/2020

IA
Texas 1/12/2023

B
Michigan 11/2/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
1729 MALLORY LN, BRENTWOOD, TN 37027
Registered with this firm since 11/3/2020

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
1729 MALLORY LN, BRENTWOOD, TN 37027
Registered with this firm since 11/2/2020

Previous Registration(s)
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IA
03/28/2019 - 10/22/2020 FIFTH THIRD SECURITIES, INC. (CRD#:628) NASHVILLE, TN
B
03/28/2019 - 10/22/2020 FIFTH THIRD SECURITIES, INC. (CRD#:628) NASHVILLE, TN
IA
11/10/2016 - 03/15/2019 SUNTRUST ADVISORY SERVICES, INC. (CRD#:283390) BRENTWOOD, TN
B
08/19/2015 - 03/15/2019 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) BRENTWOOD, TN
B
03/18/2015 - 08/10/2015 FIFTH THIRD SECURITIES, INC. (CRD#:628) FRANKLIN, TN
B
10/01/2012 - 03/11/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) WELLINGTON, FL
B
02/08/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) WELLINGTON, FL
B
02/27/2008 - 02/03/2010 METLIFE SECURITIES INC. (CRD#:14251) WEST PALM BEACH, FL
IA
08/29/2003 - 11/10/2003 MORGAN STANLEY (CRD#:7556) PALM BEACH, FL
B
07/25/2003 - 11/10/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
07/15/2003 - 07/28/2003 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) DETROIT, MI
B
05/19/2003 - 05/27/2003 AMEREST SECURITIES, INC. (CRD#:40201) DALLAS, TX
B
01/03/2003 - 05/14/2003 GUNNALLEN FINANCIAL, INC (CRD#:17609) TAMPA, FL
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Broker
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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.