Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Frank Rogers is a financial professional with over 28 years of experience in the industry. Currently, David Rogers is a registered representative with Oppenheimer & Co. Inc. and is licensed to provide investment advice in New York. Before joining Oppenheimer & Co. Inc. in 2003, David Rogers was employed by CIBC WORLD MARKETS CORP. from 1994 to 2003. David Rogers holds several industry licenses including Series 7, Series 63, Series 65 and SIE. He is also a member of FINRA. David Rogers specializes in a variety of investment services, including portfolio management for businesses and individuals, as well as financial planning and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
12/10/2004 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
01/12/1994 - 01/31/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
08/20/1993 - 08/25/1993
A.J. MICHAELS & CO., LTD. (HAUPPAUGE NY)
IA
Issued 02/25/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/03/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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