William Rogers is a registered investment advisor, based in Raleigh, NC, with 44 years of industry experience.
Location
100 E. Six Forks Road, Suite 200, Raleigh, NC, 27609
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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.
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William serves as power of attorney for his mother, starting in 2020. This investment-related activity requires minimal time.
Employment History
Current Registrations
Capital Investment Group, INC.Broker
June 2022 - Present · 4 yrs 1 mo
Capital Investment Advisory Services, LLC
June 2022 - Present · 4 yrs 1 mo
Previous Registrations
A. G. Edwards & Sons, INC.Broker
October 2007 - January 2008 · 3 mos
Wells Fargo Clearing Services, LLCBroker
October 1999 - June 2021 · 21 yrs 8 mos
Wells Fargo Clearing Services, LLC
January 1998 - June 2021 · 23 yrs 5 mos
First Union Capital Markets CORP.Broker
December 1987 - October 1999 · 11 yrs 10 mos
Carolina Securities CorporationBroker
September 1985 - December 1987 · 2 yrs 3 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
September 1980 - October 1985 · 5 yrs 1 mo
State Registrations1 state
NC
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.