Individual Firm
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Stephan Rogers
STEPHAN LEE ROGERS
CRD#: 3219910
IA
B
GROVE POINT ADVISORS, LLCCRD#: 313171 Coral Springs, FL
GROVE POINT INVESTMENTS, LLCCRD#: 1763 Coral Springs, FL
0
Disclosures
24
Years of Experience
View By:
State Registrations
B
California 12/1/2017
B
Hawaii 5/2/2023
B
Connecticut 12/1/2017
B
Nevada 9/3/2024
B
Florida 12/5/2017
B
North Carolina 3/20/2023
IA
Florida 4/1/2021
B
Utah 11/22/2019
B
Georgia 1/4/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
B
Registered with this firm since 12/1/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/26/2017 - 04/01/2021 | BETHESDA, MD | |
B | 11/03/2005 - 12/31/2017 | MIAMI, FL | |
IA | 06/14/2006 - 12/31/2015 | BOLTON, MA | |
B | 11/02/2005 - 11/22/2005 | NEW YORK, NY | |
IA | 10/25/2005 - 11/07/2005 | SAVANNAH, GA | |
B | 07/15/2005 - 11/07/2005 | ST. LOUIS, MO | |
IA | 01/28/2000 - 05/17/2004 | AVENTURA, FL | |
B | 01/28/2000 - 05/17/2004 | PURCHASE, NY | |
B | 11/30/1999 - 01/12/2000 | BOCA RATON, FL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.