Austin D. Rogers

NAVIAN CAPITAL SECURITIES LLC

CINCINNATI, OH 45202

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CRD#: 6159741

Professional summary

Austin Daniel Rogers is a registered financial professional currently at NAVIAN CAPITAL SECURITIES LLC located in Cincinnati, Ohio.

Austin is registered as a RR (Registered Representative) and started their career in finance in 2013. Austin has worked at 6 firms and has passed the Series 66, Series 63, 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.

HALO INVESTING CHICAGO IL REGIONAL DIRECTOR SINCE 09/2020 SENTINUS-HALO SECURITIES, LLC CHICAGO IL BROKER DEALER REGISTERED REP SINCE 09/2020 INVESTMENT RELATED SENTINUS, LLC CHICAGO IL INVESTMENT ADVISER INVESTMENT ADVISER REPRESENTATIVE SINCE 10/2021 INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Austin Daniel Rogers'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®

None

Experience

Current

January 13, 2025 - Present

NAVIAN CAPITAL SECURITIES LLC

Office #1: 425 Walnut Street Suite 2410, Cincinnati, OH 45202

CRD#: 145037

CINCINNATI, OH

Past

January 15, 2023 - December 10, 2024

CAUSEWAY SECURITIES LLC

CRD#: 315829

NEW YORK, NY

Past

October 25, 2021 - December 22, 2022

ROTHSCHILD WEALTH LLC

RIA

CRD#: 162442

CHICAGO, IL

Past

September 28, 2020 - December 22, 2022

HALO SECURITIES, LLC

CRD#: 279029

Chicago, IL

Past

January 6, 2015 - September 22, 2020

WILLIAM BLAIR

RIA

CRD#: 1252

CHICAGO, IL

Past

January 6, 2015 - September 22, 2020

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

April 30, 2014 - January 26, 2015

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

CHICAGO, IL

Past

May 15, 2013 - January 26, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

CHICAGO, IL

State Registrations and Notice Filings

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

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

Illinois
(1/13/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/29/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/16/2013

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: 5/14/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NAVIAN CAPITAL SECURITIES LLC

CD FUNDING SECURITIES, LLC | NAVIAN CAPITAL SECURITIES LLC

CRD#: 145037 / SEC#: , 8-67695

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

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Contact information

Main Address

425 Walnut Street Suite 2500, Cincinnati, OH 45202

Mailing Address

425 Walnut Street Suite 2500, Cincinnati, OH 45202

Phone number

(513) 980-3264

Established

Delaware since 06/23/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
NAVIAN CAPITAL, LLC	OWNER, SOLE MEMBER
BONACCI, TIMOTHY JOHN	PRESIDENT, CEO, SROP, CROP	4194271
JENKINS, ROBERT PATRICK	CHIEF FINANCIAL OFFICER AND COO	6030790
RUSSELL, SARAH DETLING	PRINCIPAL FINANCIAL OFFICER & FINOP	6727189
STACHE, PAUL GERARD	CHIEF COMPLIANCE OFFICER	1170097

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.

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Firm Stability Insights

Austin D. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Austin Daniel Rogers's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAUSEWAY SECURITIES LLC

ROTHSCHILD WEALTH LLC

HALO SECURITIES, LLC

WILLIAM BLAIR

WILLIAM BLAIR

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/29/2014

Series 63

Date: 5/16/2013

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2013

FINRA

Current Firm

NAVIAN CAPITAL SECURITIES LLC

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NAVIAN CAPITAL SECURITIES LLC

TRUST BUT VERIFY

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