Ronald P. Rogers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald Paul Rogers, who also goes by Ron Rogers, Ronald P Rogers, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1981. Ronald had worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2009 - June 6, 2012
EAGLE STRATEGIES LLC
April 27, 2007 - June 6, 2012
NYLIFE SECURITIES LLC
February 2, 2004 - January 3, 2005
ON INVESTMENT MANAGEMENT CO
January 7, 2004 - April 28, 2005
THE O.N. EQUITY SALES COMPANY
October 15, 2002 - December 31, 2003
EASTERN POINT ADVISORS INC.
November 24, 1999 - December 31, 2003
INVESTORS CAPITAL CORP.
July 21, 1997 - November 18, 1999
WMA SECURITIES, INC.
February 15, 1996 - August 25, 1997
INVESTORS CAPITAL CORP.
December 4, 1992 - February 3, 1995
INVESTORS CAPITAL CORP.
January 16, 1990 - January 17, 1991
TIER ONE PARTNERS, INC.
January 15, 1985 - November 2, 1988
CADARET, GRANT & CO., INC.
February 9, 1982 - January 31, 1985
MONY SECURITIES CORPORATION
September 17, 1981 - January 31, 1985
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
