Unclaimed Profile

Keith Michael Rogers

WARREN AVERETT ASSET MANAGEMENT, LLC·BIRMINGHAM, Alabama

Series 6, Series 7, Series 24, Series 53, Series 63, Series 6519 years registeredWARREN AVERETT ASSET MANAGEMENT, LLC

2500 ACTON ROAD, BIRMINGHAM, AL 35243CRD# 4987615Firm CRD# 115332

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Keith Michael Rogers · BIRMINGHAM, AL

Registration

CRD #4987615 · WARREN AVERETT ASSET MANAGEMENT, LLC · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: WARREN AVERETT ASSET MANAGEMENT, LLC

CONCERT WEALTH MANAGEMENT

May 2014 – Jun 2014

HUNTSVILLE, AL

WARREN AVERETT ASSET MANAGEMENT, LLC

Feb 2013 – May 2014

HUNTSVILLE, AL

G.L. SMITH & ASSOCIATES

Jan 2007 – Jan 2013

HUNTSVILLE, AL

Registrations & Exams

FINRA examinations passed

Series 6

Series 7

Series 24

Series 53

Series 63

Series 65

Registration record

First registered · January 23, 2007

Years registered · 19

Disclosure History

2016Regulatory·Final

2014Regulatory·Final

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

WAVERLY ADVISORS, LLC

CRD 115332 · SEC 801-60741

AUM

$14.5B

Regulatory assets under management

Employees

254

22,135 client accounts

Services offered by WAVERLY ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at WAVERLY ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Keith Michael Rogers offer?

Keith Michael Rogers specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management.

What are Keith Michael Rogers's credentials?

Keith Michael Rogers is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Keith Michael Rogers located?

Keith Michael Rogers is based in BIRMINGHAM, Alabama, last registered with WARREN AVERETT ASSET MANAGEMENT, LLC.

How does Keith Michael Rogers charge for services?

Keith Michael Rogers's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WARREN AVERETT ASSET MANAGEMENT, LLC?

WARREN AVERETT ASSET MANAGEMENT, LLC has approximately 254 employees and manages $14.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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