Oskar H. Rogg

CREDIT AGRICOLE SECURITIES (USA)

New York, NY 10019

Some features on this profile are disabled

CRD#: 1185837

Professional summary

Oskar Henry Rogg, who also goes by Oskar Henry Kogg, is a registered financial professional currently at CREDIT AGRICOLE SECURITIES (USA) INC. located in New York, New York.

Oskar is registered as a RR (Registered Representative) and started their career in finance in 1983. Oskar has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Oskar Henry Kogg

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Oskar Henry Rogg's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 17, 2007 - Present

CREDIT AGRICOLE SECURITIES (USA) INC.

Office #1: 1301 Avenue Of The Americas 9th Floor, New York, NY 10019

CRD#: 190

New York, NY

Past

June 6, 1994 - November 15, 2000

SOUTHWICK INVESTMENTS, INC.

CRD#: 36127

ATLANTA, GA

Past

October 23, 1991 - September 14, 1993

BELLE HAVEN INVESTMENTS, L.P.

CRD#: 29278

RYE BROOK, NY

Past

January 1, 1991 - October 23, 1991

HOLCOMB, STEVENS SECURITIES, INC

CRD#: 22830

Past

September 21, 1983 - July 18, 1990

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/12/2010)

Florida
(7/13/2010)

Illinois
(7/13/2010)

Massachusetts
(5/12/2010)

New York
(5/12/2010)

Texas
(7/13/2010)

Virginia
(7/13/2010)

Exams

State Security Law Exam

Series 63

Date: 5/11/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/5/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 6/1/2007

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

New York Stock Exchange

Current Firm

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190 / SEC#: , 8-13753

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1301 Avenue Of The Americas - 9th Floor, New York, NY 10019

Mailing Address

1301 Avenue Of The Americas - 9th Floor, New York, NY 10019

Phone number

(212) 261-7000

Established

New York since 01/30/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI")	SHAREHOLDER
ARNAL, CELINE	DIRECTOR	7247072
GEROLD, MARIA TERESA	CFO	5967881
HETIER, FRANCOIS-EDOUARD MARIE MARC	DIRECTOR	7817148
KURZ, WILLIAM FRANK	MEMBER OF THE BOARD OF DIRECTORS AND COO	7602164
PUBLIE, STEPHANE	INTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS	5978052
YOUN, EDWARD KYUNG-HO	CHIEF COMPLIANCE OFFICER	6723958
ZAFAR, KASHIF	MANAGING DIRECTOR	2666642

Disclosures

Regulatory Event

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Oskar H. Rogg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Oskar Henry Rogg's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHWICK INVESTMENTS, INC.

BELLE HAVEN INVESTMENTS, L.P.

HOLCOMB, STEVENS SECURITIES, INC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/11/2010

SIE

Date: 10/1/2018

Series 7

Date: 1/5/2007

Series 10

Date: 1/2/2023

Series 24

Date: 6/1/2007

FINRA

NYSE American LLC

New York Stock Exchange

Current Firm

CREDIT AGRICOLE SECURITIES (USA) INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CREDIT AGRICOLE SECURITIES (USA) INC.

TRUST BUT VERIFY

Similar Advisors