Robert B. Rogers

PHINGERS AND TOZE INVESTMENTS

SAN FRANCISCO, CA

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CRD#: 2516272

Professional summary

Robert Bolduc Rogers is a registered financial advisor currently at PHINGERS AND TOZE INVESTMENTS, LLC located in San Francisco, California.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Robert has worked at 2 firms and has passed the Series 66, Series 63 and Series 7 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Bolduc Rogers'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

September 8, 1997 - Present

PHINGERS AND TOZE INVESTMENTS, LLC

RIA

CRD#: 131185

SAN FRANCISCO, CA

Past

August 25, 1994 - March 14, 1997

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(9/8/1997)

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

IAR

Series 66

Date: 10/29/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/2/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/24/1994

General Securities Representative Examination

Current Firm

PHINGERS AND TOZE INVESTMENTS, LLC

CRD#: 131185 / SEC#:

California

Registered Investment Advisory firm - (9/8/1997 Approved)

Minnesota

Registered Investment Advisory firm - (4/29/2015 Terminated)

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).

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Contact information

Main Address

San Francisco, CA

Mailing Address

Phone number

(612) 889-0776

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 55,491,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Robert B. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Bolduc Rogers's CRS (Customer Relationship Summary).

Certified licenses

Experience

PHINGERS AND TOZE INVESTMENTS, LLC

INTERFIRST CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 10/29/2010

Series 63

Date: 9/2/1994

Series 7

Date: 8/24/1994

Current Firm

PHINGERS AND TOZE INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PHINGERS AND TOZE INVESTMENTS, LLC

TRUST BUT VERIFY

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