Unclaimed Profile

David Shawn Rogers

ADVANCED EQUITIES, INC.·CHICAGO, Illinois

SIE, Series 7, Series 7TO, Series 24, Series 63, Series 6523 years registeredADVANCED EQUITIES, INC.

311 SOUTH WACKER, CHICAGO, IL 60606CRD# 3081518Firm CRD# 35545

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Shawn Rogers · CHICAGO, IL

Registration

CRD #3081518 · ADVANCED EQUITIES, INC. · 23 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ADVANCED EQUITIES, INC.

ROTH CAPITAL PARTNERS, LLC

Jan 2013 – Aug 2015

NEW YORK, NY

ADVANCED EQUITIES, INC.

Jun 2009 – Nov 2012

CHICAGO, IL

CITICORP INVESTMENT SERVICES

Apr 2003 – Mar 2006

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 7TO

Series 24

Series 63

Series 65

Registration record

First registered · April 2, 2003

Years registered · 23

Disclosure History

Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

ADVANCED EQUITIES, INC.

CRD 35545 · SEC 801-67983

AUM

$868M

Regulatory assets under management

Employees

209 client accounts

Services offered by ADVANCED EQUITIES, INC.

Per Form ADV

Pension consulting

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Pension & Retirement Plans

View all advisors at ADVANCED EQUITIES, INC. →

Introduction

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Frequently Asked Questions

What services does David Shawn Rogers offer?

David Shawn Rogers specializes in Retirement Planning.

What are David Shawn Rogers's credentials?

David Shawn Rogers is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Shawn Rogers located?

David Shawn Rogers is based in CHICAGO, Illinois, last registered with ADVANCED EQUITIES, INC..

How does David Shawn Rogers charge for services?

David Shawn Rogers's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ADVANCED EQUITIES, INC.?

ADVANCED EQUITIES, INC. has approximately 51 employees and manages $868M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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