James Rogers is a registered investment advisor at Morgan Stanley, based in Tulsa, OK, with 40 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
2200 South Utica Place, Suite 500, Tulsa, OK, 74114
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.
December 1997 - June 2009 · 11 yrs 6 mos
Citigroup Global Markets INC.Broker
September 1994 - June 2009 · 14 yrs 9 mos
Van Kasper & CompanyBroker
February 1993 - June 1994 · 1 yr 4 mos
America First Programs, INC.Broker
April 1989 - May 1992 · 3 yrs 1 mo
Shearson Lehman Hutton INC.Broker
April 1988 - October 1988 · 6 mos
E. F. Hutton & Company INCBroker
October 1984 - April 1988 · 3 yrs 6 mos
Energy Equities, INC.Broker
April 1983 - September 1983 · 5 mos
State Registrations17 states
ARCACOCTDCFLGAIAIDLANJNVOKORTXVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.