MR
Michael G. Rogan
ROGAN & ASSOCIATES
Safety Harbor, FL 34695
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CRD#: 1503029
MR
Professional summary
Michael Gerard Rogan is a registered financial advisor currently at ROGAN & ASSOCIATES, INC. located in Safety Harbor, Florida.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 10 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 24, Series 4, Series 27 and Series 53 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.
(1) The Pub at Safety Harbor, LLC; Not investment related; 103 8th Ave N, Safety Harbor, FL 34695; Pub; Investor; Start date 10/16/2020; 0 hours spent. (2) Rogan & Associates, RIA; Financial Planning RIA; Investment Related; 200 9th Ave N, Ste 100, Safety Harbor, FL 34695; President; start 1/1/1997; 240 hours/month, 240 hours/month during trading. (3) Rogan & Associates Inc; Life insurance sales to clients; 200 Ninth Ave North Suite 100 Safety Harbor, FL 34695; Investment Related; President; Start Date:� 7/29/2025; Less than 10 hours/month during trading
CRS (Client Relationship Summary) - RIA
Click below to view Michael Gerard Rogan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Gerard Rogan'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
July 22, 1997 - Present
ROGAN & ASSOCIATES, INC.
Office #1: 200 9th Avenue North Suite 100, Safety Harbor, FL 34695Office #2: 9040 Town Center Parkway, Lakewood Ranch, FL 34202RIA
BD
CRD#: 42762
Safety Harbor, FL
Current
April 28, 1997 - Present
ROGAN & ASSOCIATES, INC.
Office #1: 200 9th Avenue North Suite 100, Safety Harbor, FL 34695Office #2: 9040 Town Center Parkway, Lakewood Ranch, FL 34202RIA
BD
CRD#: 42762
Safety Harbor, FL
Current
May 12, 2025 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 200 Ninth Avenue North Suite 100, Safety Harbor, FL 34695BD
CRD#: 124583
Safety Harbor, FL
Past
August 24, 1995 - December 31, 1996
STIFEL INDEPENDENT ADVISORS, LLC
BD
CRD#: 28218
ST. LOUIS, MO
Past
July 28, 1994 - August 17, 1995
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
Past
July 8, 1991 - August 4, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
February 12, 1990 - June 28, 1991
PCI FINANCIAL SERVICES, INC.
BD
CRD#: 25728
Past
September 30, 1988 - March 22, 1990
DONALD & CO. SECURITIES INC.
BD
CRD#: 7776
TINTON FALLS, NJ
Past
July 21, 1987 - October 7, 1988
R.B. MARICH, INC.
BD
CRD#: 13227
Past
July 31, 1986 - August 11, 1987
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
Past
May 22, 1986 - January 30, 1987
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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
RR
Arizona(5/16/2025)
RR
California(5/14/2025)
IAR
Florida(7/22/1997)
RR
Florida(5/13/2025)
RR
Georgia(3/2/2004)
RR
Illinois(5/15/2025)
RR
Michigan(5/14/2025)
RR
New Jersey(5/14/2025)
IAR
New York(8/29/2022)
RR
New York(5/14/2025)
RR
North Carolina(5/14/2025)
RR
Ohio(5/14/2025)
RR
South Dakota(8/17/2020)
RR
Texas(5/14/2025)
RR
Virginia(5/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 5/12/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
ROGAN & ASSOCIATES, INC.
CRD#: 42762Safety Harbor, FL 34695TRUST BUT VERIFY
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