DR
David C. Rogers
B. C. ZIEGLER AND COMPANY
NASHVILLE, TN 37201
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CRD#: 3070776
DR
Professional summary
David Christopher Rogers, who also goes by Chris Rogers, is a registered financial professional currently at B. C. ZIEGLER AND COMPANY located in Nashville, Tennessee.
David is registered as a RR (Registered Representative) and started their career in finance in 2000. David has worked at 6 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Rogers
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.
CRS (Client Relationship Summary) - BD
Click below to view David Christopher 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®
NoneExperience
Current
September 10, 2014 - Present
B. C. ZIEGLER AND COMPANY
Office #1: 150 3rd Avenue South Suite 1810, Nashville, TN 37201BD
CRD#: 61
NASHVILLE, TN
Past
September 11, 2013 - September 29, 2014
REGIONS SECURITIES LLC
BD
CRD#: 159475
NASHVILLE, TN
Past
August 4, 2008 - May 16, 2012
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
NASHVILLE, TN
Past
September 25, 2006 - July 23, 2008
TRUIST SECURITIES, INC.
BD
CRD#: 6271
NASHVILLE, TN
Past
November 10, 2004 - October 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 6, 2000 - June 28, 2001
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Tennessee(9/10/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
B. C. ZIEGLER AND COMPANY
B. C. ZIEGLER AND COMPANY | ZIEGLER WEALTH MANAGEMENT | ZIEGLER PRIVATE EQUITY | ZIEGLER INVESTMENT SERVICES GROUP | ZIEGLER CONSULTING SERVICE | ZIEGLER CAPITAL MARKETS | ZIEGLER | REACT GROUP
CRD#: 61 / SEC#: 801-19699, 8-94
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
One North Wacker Drive, Suite 2000 Suite 2000, Chicago, IL 60606
Mailing Address
One North Wacker Drive, Suite 2000, Chicago, IL 60606
Phone number
(312) 263-0110
Established
Wisconsin since 02/12/1920
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ZIEGLER COMPANIES, INC. | PARENT COMPANY | |
| DAVID, ANGELIQUE ATHIENA | EMD, GENERAL COUNSEL, CORPORATE SECRETARY, COO | 5445800 |
| HERMANN, DANIEL JOSEPH | CEO AND PRESIDENT | 1790977 |
| JEFFERSON, RYAN T | MANAGING DIRECTOR, CFO & DIRECTOR | 5844031 |
| KERR, MARCLETTA R | DIRECTOR, CHIEF COMPLIANCE OFFICER | 7463114 |
| STROM, KEVIN LOUIS | EMD HEAD OF CAPITAL MARKETS | 1595516 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 2 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Wisconsin | ERA - Withdrawn | 3/3/2025 |
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.
