Thomas A. Rogers

CIM, FCSI, CFP, EPC

Investment Advisor & separately Life Insurance Agent

416 . 463 . 6880

On the Nature of My Service

Clients

For the most part, my clients are in professional occupations or are now retired. Client portfolios have maintained a conservative style with a stable and reasonable return as an attainable objective. A good many have been with me for over 15 years.

Philosophy

Each client is different as to financial needs, aspirations and temperament. As well, the investment environment is continually evolving according to economic conditions and investors' perceptions of circumstances. It is my role to ensure each person’s array of financial planning options is adequately addressed; and, investment recommendations are made in line with current market conditions which are my responsibility to assess. My financial service relationship with clients is to consult with respect, advise conscientiously and implement with their consent.

Approach

I work personally with my clients to design, construct and guide their investment portfolios according to each person's needs. Portfolios generally do not contain mutual funds; but rather, are designed to include specific types of securities such as common stocks, preferred shares, income and energy trusts, bonds etc.- with the objective that each security and portfolio sector fulfill a specific function helping the overall content to be in line with each client's objective and the market environment as it unfolds. I am strongly committed to clear and complete communication with my clients as their comfortable understanding is paramount to me.

Analytics

I have designed custom financial planning applications capable of accommodating a wider spectrum of investment holdings and variables than are available on most commercial versions. In the realm of investment analysis I have devoted much attention to the timing techniques of Technical Analysis. In this area I have developed several useful original studies. Some are now on my full web site here. I was a founding member of the Canadian Society of Technical Analysts, and President of the Society from 1996 to 1998.

Background

Following several initial years in branch banking and mutual fund administration, I have enjoyed over 25 years experience as an Investment Advisor with member firms of the Investment  Industry Regulatory Organization of Canada.

I have continually strengthened my qualifications. Beginning with the Canadian Securities Course, Options and Futures exams, and Professional Financial Planning Course. I progressed to attainment of Canadian Investment Manager (CIM), Fellow of Canadian Securities Institute (FCSI), and Certified Financial Planner (CFP) designations. In addition, I passed the Canadian Branch Manager’s and the Partners, Directors and Senior Officers qualifying exams.

In 1999 having completed the experience and course requirements I  became an "Independent Life Agent" able to offer life and disability insurance including Critical Illness and Long Term Care policies. Recently I attained the designation of Elder Planning Counselor (EPC) by following a course of study on Elder needs, values and service requirements.

Community

I have been continually active within my church community, having been chairperson of 7 out of 13 committees I have participated in. I was recently an originator and webmaster of our church web site and have been a longstanding member of the choir.

Sincerely,

click here to go to Tom Rogers' presentation page

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