William B. Bishop

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CRD#: 1529866

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.

William Bruce Bishop, who also goes by Bill Bishop, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1986. William had worked at 6 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Bishop

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 14, 2010 - December 31, 2013

ROGAN & ASSOCIATES, INC.

CRD#: 42762

UNIVERSITY PARK, FL

Past

February 10, 2009 - December 8, 2009

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

May 22, 1996 - February 3, 2009

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

April 19, 1989 - May 1, 1996

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

October 21, 1986 - March 20, 1989

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

PHILADELPHIA, PA

Past

September 2, 1986 - October 6, 1986

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

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".

ROGAN & ASSOCIATES, INC.

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)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/27/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/14/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/29/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ROGAN & ASSOCIATES, INC.

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)

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

SEC notice filing (16 States and Territories)

FINRA licenses (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ROGAN & ASSOCIATES PORTFOLIO PROGRAM (3/27/2025)

ROGAN & ASSOCIATES AMENDED FORM ADV PART 2A DISCLOSURE BROCHURE (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
ROGAN, MICHAEL GERARD	PRESIDENT/CEO/CFO/MSP/ROSFP/SOLE OFFICER/SOLE SHAREHOLDER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER	1503029
CARTER, ANA R	FINOP	4424794
FOSS, EDWIN ROBINSON	CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, GENERAL SECURITIES PRINCIPAL	1334662

Regulatory assets under management

Total Number of Accounts	2,606
AUM (Assets Under Management)	$ 662,228,094

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.

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William B. Bishop

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GUARDIAN INVESTOR SERVICES LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

WOODBURY FINANCIAL SERVICES, INC.

DELAWARE DISTRIBUTORS, L.P.

METLIFE INVESTORS DISTRIBUTION COMPANY

Primary Firm SEC Registration

ROGAN & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/27/1991

Series 7

Date: 11/14/1995

Series 6

Date: 8/29/1986

Current Firm

ROGAN & ASSOCIATES, INC.

Contact information

SEC notice filing (16 States and Territories)

FINRA licenses (3 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ROGAN & ASSOCIATES, INC.

TRUST BUT VERIFY

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