David White Rogers Jr
Professional Summary
David White Rogers JR, who also goes by David White Roger Jr, is a registered financial advisor currently at GATEWAY WEALTH PARTNERS, LLC located in Naugatuck , Connecticut and LPL FINANCIAL LLC located in Glastonbury, Connecticut. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. David has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David White Roger Jr
Similar Advisors
FISCAL WISDOM WEALTH MANAGEMENT LLC
SOUNDVIEW PRIVATE WEALTH ADVISORS
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
FISCAL WISDOM WEALTH MANAGEMENT LLC
SOUNDVIEW PRIVATE WEALTH ADVISORS
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
FISCAL WISDOM WEALTH MANAGEMENT LLC
SOUNDVIEW PRIVATE WEALTH ADVISORS
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
FISCAL WISDOM WEALTH MANAGEMENT LLC
SOUNDVIEW PRIVATE WEALTH ADVISORS
Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
FISCAL WISDOM WEALTH MANAGEMENT LLC
SOUNDVIEW PRIVATE WEALTH ADVISORS
Current Firm
ADVISORS' PRIDE | WEALTH GUARDIAN ADVISORS | UNION RETIREMENT ALLIANCE | THORSEN WEALTH MANAGEMENT | PENNELL WEALTH ADVISORS | MCCLONE RETIREMENT ADVISORS | INTEGRATED WEALTH PARTNERS | HAGEN WEALTH MANAGEMENT | GATEWAY WEALTH PARTNERS, LLC | GATEWAY FINANCIAL PARTNERS, LLC | FORETHOUGHT PLANNING | FINANCIAL RESOURCE SERVICES | FINANCIAL ADVISORS INC. | BOBER WEALTH MANAGEMENT COMPANY
Contact Information
Main Address
100 W. Lawrence Street Suite 304, Appleton, WI 54911Phone Number
(920) 731-9293# of Employees
83SEC notice filing (33 States and Territories)
Registered to provide investment advisory services in 33 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
10,635AUM (Assets Under Management)
$2,278,835,584Similar Advisors
FISCAL WISDOM WEALTH MANAGEMENT LLC
SOUNDVIEW PRIVATE WEALTH ADVISORS
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
FISCAL WISDOM WEALTH MANAGEMENT LLC
SOUNDVIEW PRIVATE WEALTH ADVISORS
Primary Firm SEC Registration
ADVISORS' PRIDE | WEALTH GUARDIAN ADVISORS | UNION RETIREMENT ALLIANCE | THORSEN WEALTH MANAGEMENT | PENNELL WEALTH ADVISORS | MCCLONE RETIREMENT ADVISORS | INTEGRATED WEALTH PARTNERS | HAGEN WEALTH MANAGEMENT | GATEWAY WEALTH PARTNERS, LLC | GATEWAY FINANCIAL PARTNERS, LLC | FORETHOUGHT PLANNING | FINANCIAL RESOURCE SERVICES | FINANCIAL ADVISORS INC. | BOBER WEALTH MANAGEMENT COMPANY
State Registrations and Notice Filings
(5/11/2021)
(1/6/2020)
(11/2/2026)
(1/6/2020)
(1/6/2020)
(10/27/2022)
(2/18/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
FISCAL WISDOM WEALTH MANAGEMENT LLC
SOUNDVIEW PRIVATE WEALTH ADVISORS
CRS (Client Relationship Summary) - RIA
Click below to view David White Rogers JR's CRS (Customer Relationship Summary).
Similar Advisors
FISCAL WISDOM WEALTH MANAGEMENT LLC
SOUNDVIEW PRIVATE WEALTH ADVISORS