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.

At a Glance

Always Fiduciary

Min. Asset: $50K–$100K

Serves: Pre-Retirees

Serves: Retirees

Serves: Business Owners & Entrepreneurs

Services Offered

Financial Planning

Estate & Legacy Planning

Education Funding

Specializations

Alternative or Private Investments

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Michael Roge's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

August 5, 2013 - Present

R.W. ROGE & COMPANY, INC

Office #1: 900 Cummings Ctr Suite 321-t, Beverly, MA 01915

RIA

CRD#: 104645

Beverly, MA

Past

October 11, 2004 - September 30, 2011

NORTHERN LIGHTS DISTRIBUTORS, LLC

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/31/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/1/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/5/2003

General Securities Representative Examination

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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

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

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2026 ADV PART 2 (2/10/2026)

Regulatory assets under management

Total Number of Accounts	827
AUM (Assets Under Management)	$ 419,458,150

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.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Heather Scearce

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

BURLINGTON, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven M. Roge

Professional summary

At a Glance

Services Offered

Specializations

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Michael Roge's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

Primary Firm SEC Registration

R.W. ROGE & COMPANY, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2013

Series 63

Date: 9/1/2006

Series 7

Date: 3/5/2003

Current Firm

R.W. ROGE & COMPANY, INC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

R.W. ROGE & COMPANY, INC

TRUST BUT VERIFY

Contact information

Similar Advisors