Rodger David Shay Jr
Professional Summary
Rodger David Shay Jr, who also goes by Rodger David Shay Jr, is a registered financial advisor currently at AUSTIN ATLANTIC CAPITAL INC. located in Coral Gables, Florida. Rodger is registered as a RR (Registered Representative) and started their career in finance in 1981. Rodger has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 5, Series 7, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rodger David Shay Jr
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
AUSTIN ATLANTIC CAPITAL INC. | SHAY FINANCIAL SERVICES, INC. | PROVENANCE FINANCIAL INC.
Contact Information
Main Address
1 Alhambra Plaza Suite 100, Coral Gables, FL 33134Mailing Address
1 Alhambra Plaza Suite 100, Miami, FL 33134Phone Number
(305) 507-1536Established
Florida since 08/13/1990Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(5/5/2025)
(3/13/2025)
(1/30/2025)
(1/28/2025)
(12/19/2024)
(3/17/2025)
(1/13/2025)
(4/10/2025)
(7/14/2004)
(1/23/2025)
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(12/10/2024)
(8/28/2025)
(12/16/2024)
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(12/20/2024)
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(12/10/2024)
(12/13/2024)
(10/6/2025)
(1/31/2025)
(9/18/2025)
(9/16/2025)
(2/6/2025)
(10/6/2025)
(12/10/2024)
(1/29/2025)
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(4/8/2025)
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(2/6/2025)
(1/28/2025)
(9/18/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Mar 1982SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Rodger David Shay Jr's CRS (Customer Relationship Summary).
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