Brian J. Rogers
AEGIS FINANCIAL
Oshkosh, WI 54902
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CRD#: 6887711
Professional summary
Brian James Rogers, CFP® is a registered financial advisor currently at AEGIS FINANCIAL located in Oshkosh, Wisconsin.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Brian has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
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.
1) COACH; OSHKOSH UNITED SOCCER CLUB; INVESTMENT RELATED: No; LOCATION: PO BOX 2487, OSHKOSH WI 54903; DESCRIPTION OF THE BUSINESS: YOUTH SOCCER CLUB; RESPONSIBILITIES DUTIES: I COACH MY SONS SOCCER TEAM; START DATE WITH BUSINESS: 08/01/2017; HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 12; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: .1. 2) WINNEBAGO LUTHERAN ACADEMY; EXECUTIVE BOARD LAY MEMEBER; NOT INVESTMENT RELATED; 475 EAST MERRILL AVE FOND DU LAC WI 54935; EDUCATE CHILDREN FROM GRADES 9-12 AND ALSO HELP THE ELEMENTARY SCHOOLS WITHIN THE ASSOCIATION WITH VARIOUS TASKS AS THEY ARE ABLE; THE EXECUTIVE BOARD MEETS MONTHLY, OVERSEEING ACADEMY BUSINESS, BUDGETS, PROPERTY, CURRICULUM, AND PERSONNEL; START DATE WITH BUSINESS: 2025-03-25; HOURS PER MONTH DEVOTED TO BUSINESS DURING TRADING HOURS: 0; HOURS PER MONTH DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 3; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 0; WEBSITE ADDRESS FOR THE ORGANIZATION: HTTPS://WLAVIKINGS.ORG/.
CRS (Client Relationship Summary) - RIA
Click below to view Brian James 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®
CFP®
Start date: 2020
Experience
Current
August 22, 2019 - Present
AEGIS FINANCIAL
Office #1: 530 N Koeller St, Oshkosh, WI 54902RIA
CRD#: 305030
Oshkosh, WI
Past
October 31, 2019 - December 9, 2020
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
OSHKOSH, WI
Past
March 26, 2018 - October 4, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
OSHKOSH, WI
Past
February 20, 2018 - October 4, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
OSHKOSH, WI
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".
AF
AEGIS FINANCIAL
AEGIS FINANCIAL | BOWMAN & COMPANY S.C. | ASCEND: POWERED BY AEGIS FINANCIAL | ASCEND
CRD#: 305030 / SEC#: 801-117229
RIA
Registered Investment Advisory firm - (8/21/2019 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
Wisconsin(8/22/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/28/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
AF
AEGIS FINANCIAL
AEGIS FINANCIAL | BOWMAN & COMPANY S.C. | ASCEND: POWERED BY AEGIS FINANCIAL | ASCEND
CRD#: 305030 / SEC#: 801-117229
RIA
Registered Investment Advisory firm - (8/21/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
530 N Koeller St, Oshkosh, WI 54902
Mailing Address
Phone number
(920) 233-4650
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,781 |
| AUM (Assets Under Management) | $ 418,956,017 |
Red Flags
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