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Ryan Michael Hogan

CRD# 3092630·Registered 1998 - 2005
Previously Registered: Being a previously registered professional could mean that Ryan 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.

Professional Summary

Ryan Michael Hogan, who also goes by Drew Stephen Hogan, was a registered financial advisor. Ryan was a previously registered financial advisor and started their career in finance 1998 - 2005. Ryan had worked at 4 firms and has passed the Series 63, Series 31 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Drew Stephen Hogan

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

DAWSON JAMES SECURITIES, INC.·CRD# 130645
BD
Boca Raton, FL
September 22, 2005 - October 12, 2005
NATIONAL SECURITIES CORPORATION·CRD# 7569
BD
Boca Raton, FL
September 9, 2003 - May 18, 2005
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
RIA
Boca Raton, FL
September 5, 2000 - August 22, 2003
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
September 5, 2000 - August 22, 2003
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
July 24, 1998 - September 6, 2000

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Current Firm

DJ
DAWSON JAMES SECURITIES, INC.

DAWSON JAMES SECURITIES, INC.

CRD#: 130645 / SEC#: 8-66367
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

2700 N. Military Trail Suite 100, Boca Raton, FL 33431

Mailing Address

2700 N. Military Trail Suite 100, Boca Raton, FL 33431

Phone Number

(561) 391-5555

Established

Florida since 07/30/2002

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARK FINANCIAL SERVICES, INC.OWNER—
DORFMAN, JENNIFERCHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER3009328
KEYSER, ROBERT DAWSON JR.CEO1291503
STICE, HAROLD EUGENECHIEF FINANCIAL OFFICER/FINOP1349210

Disclosures

Regulatory Event

12

Arbitration

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1998About the Series 63 exam

Series 31 — Futures Managed Funds Examination

Passed Aug 1998About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Jul 1998About the Series 7 exam

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CRS (Client Relationship Summary)

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

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