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Richard Patrick Rogers Jr

Investment Adviser Representative at QUANTITATIVE PROCESS, LLC

Charlotte, NCCRD #1983378Investment Adviser Rep
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
36 yrs
States Registered
1 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Richard Patrick Rogers Jr has worked in the securities industry since 1990. They have passed the Series 65, 63, 28, 26, and 6 examinations. They are registered to provide investment advisory services in North Carolina.

Registrations & licenses

Registration type
Investment Adviser Rep
Registered in 1 states
North Carolina
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 11/8/2002
Series 63
Uniform Securities Agent State Law Examination
Passed 7/8/1997
SIE
Securities Industry Essentials Examination
Passed 7/31/2018
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 11/10/1989
Series 28
Introducing Broker/Dealer Financial Operations Principal Examination
Passed 5/7/1999
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 7/2/1997

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.01
Source

Quantitative Process, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

QUANTITATIVE PROCESS, LLCCurrent
6/13/2014Charlotte, NC
QUANTITATIVE PROCESS, LLC
1/9/20133/17/2014Charlotte, NC
MILESTONE INVESTMENTS, INC.
11/11/20021/8/2013Charlotte, NC

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at QUANTITATIVE PROCESS, LLC

2 other advisors in the directory

View QUANTITATIVE PROCESS, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard Patrick Rogers Jr has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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Richard Patrick Rogers Jr - Financial Advisor in Charlotte, NC | AdvisorFinder