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Paul H. Rogers

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CRD#: 3049156
PR

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.

Paul Hersey Rogers was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1998. Paul had worked at 2 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

January 15, 2020 - June 18, 2021

PHYSIS INVESTMENT

RIA
CRD#: 304911
BOSTON, MA
Past

May 7, 1998 - March 17, 2008

DEAM INVESTOR SERVICES, INC.

BD
CRD#: 754
BOSTON, MA

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.

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/5/1998
General Securities Representative Examination

Current Firm

PI
PHYSIS INVESTMENT
PHYSIS INVESTMENT | PHYSIS INVESTMENT INC. | PHYSIS INVESTMENT INC

CRD#: 304911 / SEC#: 801-117166

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Contact information

Main Address
2 Ave De Lafayette, Boston, MA 02111
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE- PHYSIS INVESTMENT INC. (3/1/2021)

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

PHYSIS INVESTMENT

CRD#: 304911

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