Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Michael Rogers is a financial advisor with RBC Capital Markets, LLC and has been in the industry since September 7, 1983. David is licensed to provide financial advice in several states including Arizona, California, Connecticut, Florida, Georgia, Maine, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Texas, Vermont, Virginia, and Wisconsin. David has experience working with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations. He provides financial planning, portfolio management, and pension consulting services. David is committed to providing his clients with personalized financial advice and helping them achieve their financial goals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
NY
05/13/2005 - Present
RBC Capital Markets, LLC (ALBANY NY)
NJ
01/15/1990 - 05/27/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
05/16/1984 - 02/08/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
06/09/1983 - 02/14/1984
FIRST INVESTORS CORPORATION
IA
Issued 09/11/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/07/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/1984
Series 3 - National Commodity Futures Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
BC
Issued 06/08/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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