Ryan F. Belz

Some features on this profile are disabled

CRD#: 5506262

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.

Ryan Francis Belz was a registered financial professional .

Ryan is a previously registered financial professional and started their career in finance in 2008. Ryan had worked at 2 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 9, 2013 - February 29, 2016

ROGAN & ASSOCIATES, INC.

CRD#: 42762

SAFETY HARBOR, FL

Past

February 13, 2009 - September 6, 2011

ROGAN & ASSOCIATES, INC.

CRD#: 42762

SAFETY HARBOR, FL

Past

October 14, 2008 - December 11, 2008

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

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".

ROGAN & ASSOCIATES, INC.

CRD#: 42762 / SEC#: 801-69994, 8-49995

RIA

Registered Investment Advisory firm - SEC (3/30/2009 Approved)

Florida

Registered Investment Advisory firm - SEC (4/4/2009 Terminated)

Virginia

Registered Investment Advisory firm - SEC (4/7/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

SIE

Date: 2/29/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/13/2008

General Securities Representative Examination

Current Firm

ROGAN & ASSOCIATES, INC.

CRD#: 42762 / SEC#: 801-69994, 8-49995

RIA

Registered Investment Advisory firm - SEC (3/30/2009 Approved)

Florida

Registered Investment Advisory firm - SEC (4/4/2009 Terminated)

Virginia

Registered Investment Advisory firm - SEC (4/7/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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

200 9th Avenue. North Suite 100, Safety Harbor, FL 34695

Mailing Address

200 9th Avenue. North Suite 100, Safety Harbor, FL 34695-3500

Phone number

(727) 712-3400

Established

Florida since 01/17/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (16 States and Territories)

FINRA licenses (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ROGAN & ASSOCIATES PORTFOLIO PROGRAM (3/27/2025)

ROGAN & ASSOCIATES AMENDED FORM ADV PART 2A DISCLOSURE BROCHURE (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
ROGAN, MICHAEL GERARD	PRESIDENT/CEO/CFO/MSP/ROSFP/SOLE OFFICER/SOLE SHAREHOLDER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER	1503029
CARTER, ANA R	FINOP	4424794
FOSS, EDWIN ROBINSON	CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, GENERAL SECURITIES PRINCIPAL	1334662

Regulatory assets under management

Total Number of Accounts	2,606
AUM (Assets Under Management)	$ 662,228,094

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ryan F. Belz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROGAN & ASSOCIATES, INC.

ROGAN & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

ROGAN & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 2/29/2016

Series 7

Date: 10/13/2008

Current Firm

ROGAN & ASSOCIATES, INC.

Contact information

SEC notice filing (16 States and Territories)

FINRA licenses (3 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ROGAN & ASSOCIATES, INC.

TRUST BUT VERIFY

Similar Advisors