Phoenix-based financial consultant Richard Rogers (CRD# 1847671) has made headlines recently as he stepped down from a previous brokerage due to misconduct accusations. Previously associated with Belpointe Asset Management, he is now on file with Brookwood Investment Group, according to records from the Financial Industry Regulatory Authority (FINRA).
A deep dive into Rogers’ BrokerCheck report reveals that he phased out his association with Belpointe Asset Management in a somewhat controversial manner. This report, filed in June 2023, details that his departure was not routine but a concession linked to allegations of disseminating unapproved sales materials, not updating his disclosure form promptly, and intentionally misguiding a customer via email.
Besides this recent issue, Rogers’ BrokerCheck report also brings a second significant disclosure to light. In 1986, it was alleged that Rogers, a representative of the First Commodity Corporation of Boston, misrepresented crucial facts concerning an undocumented investment. Ultimately, this complaint culminated in a hefty settlement of $16,166.46.
An Overview of Richard Rogers’ Career
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As stated by the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Richard Rogers boasts 34 years of experience in the securities industry. He is anchored in Phoenix, Arizona, and has been a financial advisor with the Brookwood Investment Group since September 2023.
Prior to this, he was with:
– Belpointe Asset Management, based in Greenwich, Connecticut, from years 2018 – 2023
– Wells Fargo Clearing Services in Hyannis, Massachusetts, from years 2000 – 2018
– First Union Capital Markets in Charlotte, North Carolina during year 1999
– BT Alex Brown, based in Baltimore, Maryland, from years 1997 – 1999
And, more notably:
– Alex Brown & Sons from years 1993 – 1997
– Lehman Brothers, based in New York, NY, from years 1989 – 1993
– Graystone Nash during the years 1988 – 1989.
In addition to these remarkable career milestones, Rogers has also cleared four crucial securities industry qualifying exams:
– The General Securities Representative Exam, popularly known as Series 7
– The Securities Industry Essentials Examination, also known as SIE
– The Uniform Securities Agent State Law Exam, also known as Series 63
– The Uniform Investment Adviser Law Exam, known as Series 65.
He is best recognized for his licensure as an investment advisor in Arizona. This information remains accurate as of October 3, 2023.
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