Richard Patrick Rogers

Current Employers

Quantitative Process, Llc

10700 Sikes Place Suite 395, Charlotte, NC 28277 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2014-06-13

NC RA
APPROVED

Since 2014-06-13

Branch Locations

Charlotte, NC • United States

10700 Sikes Place Suite 395, Charlotte, NC 28277 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Quantitative Process, L.L.C.	Charlotte	NC	01/2013	Present
Kovack Securities Inc.	Marietta	GA	10/2014	07/2018

01/2013 → Present

Quantitative Process, L.L.C.

Charlotte, NC
10/2014 → 07/2018

Kovack Securities Inc.

Marietta, GA

Previous Registrations

2013-01-09 → 2014-03-17

Quantitative Process, Llc

Charlotte, NC

Charlotte, NC
2002-11-11 → 2013-01-08

Milestone Investments, Inc.

Charlotte, NC

Charlotte, NC

Other Businesses

INSURANCE SALES - LICENSED SINCE 1995 - CHARLOTTE, NC 28277; THE SALE OF FIXED/VARIABLE INSURANCE PRODUCTS; NON INVESTMENT RELATED; AGENT; INSURANCE SALES; 1% OF TIME SPENT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-11-08
S63	Uniform Securities Agent State Law Examination	1997-07-08

S65 Uniform Investment Adviser Law Examination

2002-11-08
S63 Uniform Securities Agent State Law Examination

1997-07-08

Other Names

Richard Patrick Rogers

View on SEC IAPD