Patrick J. Rogers

PROSPERITY - AN EISNERAMPER COMPANY

ISELIN, NJ 08830

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CRD#: 5604119

Professional summary

Patrick Joseph Rogers, who also goes by Patrick Joseph Rogers Jr, is a registered financial advisor currently at PROSPERITY - AN EISNERAMPER COMPANY located in Iselin, New Jersey and DAI SECURITIES, LLC located in Iselin, New Jersey.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Patrick has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patrick Joseph Rogers Jr

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.

1-Prosperity - An EisnerAmper Company; Iselin, NJ; Service description: RIA; Start date: 02/2024; Title: Senior Relationship Manager; Duties: Relationship management between clients and advisors making sure best interest of client is being upheld; Time spent: 100%. 2. Prosperity an EisnerAmper Company, investment related, Iselin, NJ, Wealth Management, Wealth Advisor, 6/18/2024, 40 hours per month, 21-40 hours, providing advice to clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Joseph Rogers'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®

None

Experience

Current

February 20, 2024 - Present

PROSPERITY - AN EISNERAMPER COMPANY

Office #1: 111 Wood Avenue South Suite 110, Iselin, NJ 08830

RIA

CRD#: 133777

ISELIN, NJ

Current

May 3, 2023 - Present

DAI SECURITIES, LLC

Office #1: 111 Wood Avenue South Suite 110, Iselin, NJ 08830

CRD#: 36673

Iselin, NJ

Past

August 1, 2022 - February 22, 2024

EISNERAMPER WEALTH MANAGEMENT & CORPORATE BENEFITS, LLC

RIA

CRD#: 121863

ISELIN, NJ

Past

September 13, 2018 - May 1, 2023

APW CAPITAL, INC.

CRD#: 43814

ISELIN, NJ

Past

April 7, 2017 - July 3, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODBRIDGE, NJ

Past

November 5, 2011 - February 2, 2017

SCOTTRADE, INC.

CRD#: 8206

MORRISTOWN, NJ

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".

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(5/3/2023)

Massachusetts
(5/3/2023)

New Jersey
(5/3/2023)

IAR

New Jersey
(2/20/2024)

New York
(5/3/2023)

Pennsylvania
(5/3/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/29/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/4/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 Terminated)

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Contact information

Main Address

10065 Red Run Boulevard Suite 200, Owings Mills, MD 21117

Mailing Address

Phone number

(410) 363-7211

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPERITY BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts	5,557
AUM (Assets Under Management)	$ 3,195,898,263

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.

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Advisor Monitoring

Firm Stability Insights

Patrick J. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Joseph Rogers's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAI SECURITIES, LLC

EISNERAMPER WEALTH MANAGEMENT & CORPORATE BENEFITS, LLC

APW CAPITAL, INC.

EQUITABLE ADVISORS, LLC

SCOTTRADE, INC.

Primary Firm SEC Registration

PROSPERITY - AN EISNERAMPER COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/2022

Series 63

Date: 12/15/2011

SIE

Date: 10/1/2018

Series 7

Date: 11/4/2011

FINRA

Current Firm

PROSPERITY - AN EISNERAMPER COMPANY

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY - AN EISNERAMPER COMPANY

TRUST BUT VERIFY

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