Dwaine W. Rogge
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.
Dwaine William Rogge, CFA was a registered financial professional .
Dwaine is a previously registered financial professional and started their career in finance in 1968. Dwaine had worked at 5 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2000 - March 23, 2012
ROGGE CAPITAL LLC
April 9, 1975 - July 29, 1991
COMMERCE CAPITAL, INC.
January 17, 1969 - September 15, 1973
FIRST MID AMERICA CORPORATION
January 17, 1969 - March 7, 1975
FIRST MID-AMERICA INC.
September 9, 1968 - May 2, 1973
FUND MANAGEMENT INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 12/22/1964
Registered Representative ExaminationF04
Date: 3/19/1975
Financial Principal ExaminationSeries 40
Date: 7/25/1968
Registered Principal ExaminationCurrent Firm
ROGGE CAPITAL LLC
CRD#: 115101 / SEC#: 801-64784
Contact information
Red Flags
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