EF
Edwin R. Foss
ROGAN & ASSOCIATES
Tampa, FL 33610
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CRD#: 1334662
EF
Professional summary
Edwin Robinson Foss is a registered financial advisor currently at ROGAN & ASSOCIATES, INC. located in Tampa, Florida.
Edwin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Edwin has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Edwin Robinson Foss's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edwin Robinson Foss'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®
NoneExperience
Current
January 14, 2008 - Present
ROGAN & ASSOCIATES, INC.
Office #1: 10150 Highland Manor Drive Suite 200, Tampa, FL 33610Office #2: 200 9th Avenue North Suite 100, Safety Harbor, FL 34695Office #3: 15305 Dallas Parkway, Suite 300, Addison, TX 75001RIA
BD
CRD#: 42762
Tampa, FL
Current
April 6, 2004 - Present
ROGAN & ASSOCIATES, INC.
Office #1: 10150 Highland Manor Drive Suite 200, Tampa, FL 33610Office #2: 200 9th Avenue North Suite 100, Safety Harbor, FL 34695Office #3: 15305 Dallas Parkway, Suite 300, Addison, TX 75001RIA
BD
CRD#: 42762
Tampa, FL
Past
November 7, 1995 - August 25, 2000
STIFEL INDEPENDENT ADVISORS, LLC
BD
CRD#: 28218
ST. LOUIS, MO
Past
November 12, 1993 - December 5, 1995
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
Past
October 6, 1988 - July 19, 1993
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
Past
March 22, 1988 - May 11, 1988
AMERICAN FRONTEER FINANCIAL CORPORATION
BD
CRD#: 1398
Past
July 23, 1987 - April 4, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
BD
CRD#: 7998
Past
June 24, 1987 - July 23, 1987
HAMILTON BOHNER, INC.
BD
CRD#: 14774
Past
February 19, 1985 - July 27, 1987
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
R&
ROGAN & ASSOCIATES, INC.
ADS DISTRIBUTORS, INC. | ROGAN, ROSENBERG, & ASSOCIATES, INC. | ROGAN, ROSENBERG & ASSOCIATES, INC. | ROGAN AND ASSOCIATES FINANCIAL PLANNERS | ROGAN & ASSOCIATES, INC. | ROGAN & ASSOCIATES
CRD#: 42762 / SEC#: 801-69994, 8-49995
RIA
Registered Investment Advisory firm - SEC (3/30/2009 Approved)Florida
Registered Investment Advisory firm - SEC (4/4/2009 Terminated)Virginia
Registered Investment Advisory firm - SEC (4/7/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
IAR
Florida(1/14/2008)
RR
Montana(2/24/2020)
IAR
New York(8/29/2022)
RR
South Dakota(8/17/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
R&
ROGAN & ASSOCIATES, INC.
ADS DISTRIBUTORS, INC. | ROGAN, ROSENBERG, & ASSOCIATES, INC. | ROGAN, ROSENBERG & ASSOCIATES, INC. | ROGAN AND ASSOCIATES FINANCIAL PLANNERS | ROGAN & ASSOCIATES, INC. | ROGAN & ASSOCIATES
CRD#: 42762 / SEC#: 801-69994, 8-49995
RIA
Registered Investment Advisory firm - SEC (3/30/2009 Approved)Florida
Registered Investment Advisory firm - SEC (4/4/2009 Terminated)Virginia
Registered Investment Advisory firm - SEC (4/7/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
200 9th Avenue. North Suite 100, Safety Harbor, FL 34695
Mailing Address
200 9th Avenue. North Suite 100, Safety Harbor, FL 34695-3500
Phone number
(727) 712-3400
Established
Florida since 01/17/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
16
SEC notice filing (16 States and Territories)
FINRA licenses (3 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,606 |
| AUM (Assets Under Management) | $ 662,228,094 |
Disclosures
| Regulatory Event | 2 |
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.
