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CR

Cole S. Rogers

WALLACHBETH CAPITAL LLC
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 7150208
CR

Professional summary

Cole Stephen Rogers is a registered financial professional currently at WALLACHBETH CAPITAL LLC located in Boca Raton, Florida.

Cole is registered as a RR (Registered Representative) and started their career in finance in 2019. Cole has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, Series 57TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Cole Stephen 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

August 12, 2024 - Present

WALLACHBETH CAPITAL LLC

Office #1: 1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
BD
CRD#: 147853
Boca Raton, FL
Past

May 24, 2024 - May 31, 2024

CASEY SECURITIES LLC

BD
CRD#: 35230
GREENBRAE, CA
Past

September 1, 2022 - May 24, 2024

RFA SECURITIES LLC

BD
CRD#: 305963
PHILADELPHIA, PA
Past

August 29, 2022 - September 6, 2022

CASEY SECURITIES LLC

BD
CRD#: 35230
GREENBRAE, CA
Past

November 5, 2019 - February 27, 2020

&PARTNERS

RIA
CRD#: 3767
NASHVILLE, TN
Past

August 30, 2019 - February 27, 2020

&PARTNERS

BD
CRD#: 3767
NASHVILLE, TN

State Registrations and Notice Filings

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

RR
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

RR
Florida
(11/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/30/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/1/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 8/29/2022
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 8/30/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

WC
WALLACHBETH CAPITAL LLC
WALLACHBETH CAPITAL LLC

CRD#: 147853 / SEC#: , 8-67936

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

Main Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Mailing Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Phone number
(646) 237-8585
Established
New York since 05/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WALLACHBETH HOLDINGS LLC95% OWNER
SAGO MANAGEMENT, LLC5% OWNER
BETH, DAVID JAYCOO/PRESIDENT/ MANAGING MEMBER2470494
OH, SEUNG CHEOLCFO, FNOP4632040
SCHWEITZER, ERIC BRUCECHIEF COMPLIANCE OFFICER1036891
WALLACH, MICHAEL CONRADCHIEF EXECUTIVE OFFICER/MANAGING MEMBER2376092

Disclosures

Regulatory Event2

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.

Company Information

WALLACHBETH CAPITAL LLC

CRD#: 147853Boca Raton, FL 33431

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