Richard Rogers is a registered investment advisor at Stephens, based in Winston-Salem, NC, with 41 years of industry experience. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 21,784 clients with $16B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Stephens Inc. offers several investment management programs with fees based on a percentage of assets managed. Fees are negotiable and vary from client to client. Fees for some programs are charged quarterly in arrears, while others are charged monthly in advance. Clients may also incur markups or markdowns on fixed income transactions. Some programs may also have performance-based fees.
Location
101 S. Stratford Road, Winston-Salem, NC, 27104
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Richard is an investment committee member for St. Paul's Episcopal Church since 2012. He is also a partner in Stellie Partners, LLC, an entity set up to hold personal assets and provide a platform for future financial and estate planning, dedicating minimal time to this.
Employment History
Current Registrations
StephensBroker
Stephens
Previous Registrations
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
E. F. Hutton & Company INCBroker
State Registrations36 states
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