Unclaimed Profile

Tracy Warren Rogers

OLD PORT ADVISORS, INC·PORTLAND, Maine

Series 7, Series 66Clean record23 years registeredOLD PORT ADVISORS, INC

130 MIDDLE STREET, PORTLAND, ME 04101-7104CRD# 4178132Firm CRD# 108228

Profile Verification

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

Identity

Tracy Warren Rogers · PORTLAND, ME

Registration

CRD #4178132 · OLD PORT ADVISORS, INC · 23 years registered

Brand Profile

Not yet started

Career History

OLD PORT ADVISORS

Nov 2004 – present

CAMBRIDGE INVESTMENT RESERARCH, INC.

Sep 2002 – Aug 2004

PORTLAND, ME

Registrations & Exams

FINRA examinations passed

Series 7

Series 66

Registration record

First registered · September 30, 2002

Years registered · 23

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

OLD PORT ADVISORS, INC

CRD 108228 · SEC 801-60130

AUM

$698M

Regulatory assets under management

Employees

2,276 client accounts

Services offered by OLD PORT ADVISORS, INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at OLD PORT ADVISORS, INC →

Introduction

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Frequently Asked Questions

What services does Tracy Warren Rogers offer?

Tracy Warren Rogers specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in PORTLAND, Maine for a consultation.

What are Tracy Warren Rogers's credentials?

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

Where is Tracy Warren Rogers located?

Tracy Warren Rogers is based in PORTLAND, Maine, working with OLD PORT ADVISORS, INC. Their office serves clients in the PORTLAND metropolitan area and surrounding communities.

How does Tracy Warren Rogers charge for services?

Tracy Warren 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 OLD PORT ADVISORS, INC?

OLD PORT ADVISORS, INC has approximately 12 employees and manages $698M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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