Edward L. Hogan

ROCK ELM CAPITAL MANAGEMENT LLC

Darien, CT 06820

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CRD#: 2394785

Professional summary

Edward Leo Hogan, who also goes by Edward Hogan, is a registered financial advisor currently at ROCK ELM CAPITAL MANAGEMENT LLC located in Darien, Connecticut and BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.

Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Edward has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7TO, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Edward Hogan

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.

ROCK ELM CAPITAL MANAGEMENT LLC 30 OLD KINGS HIGHWAY SOUTH DARIEN, CT 06820 MANAGING PARTNER/RIA EFFECTIVE: 01/13/2016 10 HOURS PER MONTH/0 HOURS PER MONTH DURING MARKET HOURS ROCK ELM HOLDINGS LLC 30 OLD KINGS HIGHWAY SOUTH DARIEN, CT 06820 MANAGING PARTNER/ADVISORY AND CONSULTING SERVICES EFFECTIVE: 11/06/2017 10 HOURS PER MONTH/0 HOURS PER MONTH DURING MARKET HOURS HOGAN MERCHANT CAPITAL LLC 1 BERRY LANE DARIEN, CT 06820 SOLE MEMBER/PERSONAL LLC FOR NON SECURITIES RELATED BUSINESS DEVELOPMENT EFFECTIVE: 09/10/2015 1 HOUR PER MONTH/0 HOURS PER MONTH DURING MARKET HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Leo Hogan'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

July 20, 2017 - Present

ROCK ELM CAPITAL MANAGEMENT LLC

Office #1: 30 Old Kings Highway South, Darien, CT 06820

RIA

CRD#: 287783

Darien, CT

Current

July 1, 2019 - Present

BA SECURITIES, LLC

Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

CRD#: 153489

W. Conshohocken, PA

Past

August 24, 2009 - May 4, 2015

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

CRD#: 130847

NEW YORK, NY

Past

October 11, 2002 - May 6, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 22, 1999 - October 18, 2002

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

July 24, 1997 - October 28, 1999

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

August 16, 1996 - July 24, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 15, 1993 - September 12, 1995

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

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.

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
(10/23/2024)

IAR

Connecticut
(7/20/2017)

Connecticut
(7/1/2019)

Massachusetts
(5/24/2024)

New York
(5/31/2022)

Pennsylvania
(7/1/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/20/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/24/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 6/29/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7TO

Date: 6/25/2019

General Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 8/21/2009

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 8/19/1996

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 2/6/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ROCK ELM CAPITAL MANAGEMENT LLC

CRD#: 287783 / SEC#:

Connecticut

Registered Investment Advisory firm - (7/20/2017 Approved)

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Contact information

Main Address

30 Old Kings Highway South, Darien, CT 06820

Mailing Address

Phone number

+1 (203) 202-1639

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Firm Stability Insights

Edward L. Hogan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Leo Hogan's CRS (Customer Relationship Summary).

Certified licenses

Experience

BA SECURITIES, LLC

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

UBS SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITICORP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/20/2019

Series 65

Date: 4/24/2017

SIE

Date: 6/29/2019

Series 7TO

Date: 6/25/2019

Series 7

Date: 8/21/2009

Series 3

Date: 8/19/1996

Series 24

Date: 2/6/2003

FINRA

Current Firm

ROCK ELM CAPITAL MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

ROCK ELM CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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