Private Wealth Management

Richard Rogers, CPM®

Managing Director

Direct: (336) 251-0404

Philosophy & Approach

Richard joined Stephens Private Client Group in 2011. As a trusted consultant almost 35 years, Richard believes it is important to communicate with clients as candidly as possible. Richard says, “I have two main goals for my clients. First, I want to guide them to greater financial security by taking a partnership approach and delivering unbiased planning and investment management with our clients’ interests top of mind.  Second, I strive to understand clients’ short-term concerns while staying focused on the long-term outcome.”  

Preston Yates, a Financial Consultant with over five years of industry experience, joined Richard in 2017.  They are supported by their registered sales assistant, Anne Thornton, who has more than 15 years of experience.  

Experience & Education

Prior to joining Stephens, Richard was a Senior Vice President and Senior Portfolio Manager with E. F. Hutton & Co, and its successor, Morgan Stanley. Richard has received the Stephens Leadership Circle award every year since he joined Stephens in recognition for excellence in wealth management.

Graduating with honors, Richard received a Bachelor of Science in Molecular Biology from Vanderbilt University in Nashville, Tennessee. He also furthered his education by attending Stephens’ advanced wealth management program, Stephens University, offered through Wake Forest University.

Richard is a Certified Portfolio Manager (CPM®). He attended a Certified Portfolio Manager Program at the Fu Foundation School of Engineering & Applied Sciences at Columbia University. The certification provides a deeper understanding of fundamental security analysis, asset allocation, and portfolio management concepts. The core finance concepts include: Quantitative Methods, Financial Statement Analysis, Corporate Finance, Fixed Income Analysis, Equity Analysis, Derivatives, and Portfolio Management.

Personal

Richard is active in his community and serves on the board and investment committee of his church while also acting as an outreach liaison. He also serves on the Woodberry Forest School Advisory Council and volunteers for Samaritan Ministries of Winston-Salem, a shelter and soup kitchen for the homeless. He has previously served on the Vanderbilt University Parent Leadership Council and was a Boy Scout Troop Parent Director.

Richard and his wife, Karen, have two children, Morgan Godin and Richard IV. Most of his free time is spent with his family and playing with his German Shepherd.  He also enjoys skiing, fly-fishing, hunting, golfing, traveling, gardening, reading, listening to music, and collecting and restoring older cars. 


You may obtain information regarding the background of our Financial Consultants by viewing their bio and by searching for them on the Financial Industry Regulatory Authority’s Broker Check website: www.finra.org/brokercheck

(800) 643-9691 | Member NYSE, SIPC

© 2018 Stephens Inc. All rights reserved.