Steven M. Roge
R.W. ROGE & COMPANY,
Beverly, MA 01915
Some features on this profile are disabled
CRD#: 4866201
Professional summary
Steven Michael Roge, AIF®, CFP® is a registered financial advisor currently at R.W. ROGE & COMPANY, INC located in Beverly, Massachusetts.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Steven has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Do you have an area of expertise or specialization?
Alternative or Private Investm...
Baby Boomers
Business Owners
Charitable Giving
College/Education Planning
Entrepreneurs
What is your minimum asset requirement?
100K
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 name of the other business: New York Institute of Technology (NYIT) College of Osteopathic Medicine whether the business is investment-related: no the address of the other business: 101 Northern Blvd, Glen Head, NY 11545 the nature of the other business: Primate Medical School your position: Adjunct Clinical Instructor title, or relationship with the other business: Adjunct Clinical Instructor the start date of your relationship: 04/15/2025 the approximate number of hours/month you devote to the other business: .01 the number of hours you devote to the other business during securities trading hours: 0 and briefly describe your duties relating to the other business: on a pro-bono basis, I teach one class per year for an hour and a half on budgeting, student loan strategies, credit, insurance, long-term investing, and aligning financial decisions with personal values.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Michael Roge'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®
CFP®
Start date: 2021
Experience
Current
August 5, 2013 - Present
R.W. ROGE & COMPANY, INC
Office #1: 900 Cummings Ctr Suite 321-t, Beverly, MA 01915RIA
CRD#: 104645
Beverly, MA
Past
October 11, 2004 - September 30, 2011
NORTHERN LIGHTS DISTRIBUTORS, LLC
BD
CRD#: 126159
ELKHORN, NE
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
R.W. ROGE & COMPANY, INC
R. W. ROGE & COMPANY, INC | R.W. ROGE & COMPANY, INC | R. W. ROGE & COMPANY, INC.
CRD#: 104645 / SEC#: 801-28012
RIA
Registered Investment Advisory firm - (9/26/1986 Approved)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
Massachusetts(8/5/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
R.W. ROGE & COMPANY, INC
R. W. ROGE & COMPANY, INC | R.W. ROGE & COMPANY, INC | R. W. ROGE & COMPANY, INC.
CRD#: 104645 / SEC#: 801-28012
RIA
Registered Investment Advisory firm - (9/26/1986 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Corporate Drive Suite 101, Bohemia, NY 11716
Mailing Address
Phone number
(631) 218-0077
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 787 |
| AUM (Assets Under Management) | $ 365,053,265 |
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
R.W. ROGE & COMPANY, INC
CRD#: 104645Beverly, MA 01915TRUST BUT VERIFY
Monitor Steven Roge
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
