Scott Michael Kogler

Current Employers

Employment History

• 11/2003 → 10/2019
  1St Global Capital Corp.
  Rochester, NY
• 03/2006 → 09/2025
  Avantax Insurance Services, Inc.
  Rochester, NY
• 01/2004 → 10/2019
  1St Global Advisors, Inc.
  Rochester, NY
• 08/2007 → Present
  Davie Kaplan, Cpa, P.C.
  Rochester, NY
• 11/2003 → Present
  Dkcb Financial Advisors, Llc
  Rochester, NY
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Rochester, NY
• 07/2005 → Present
  Davie Kaplan Wealth Care Advisors, Llc
  Rochester, NY
• 10/2023 → 09/2025
  Avantax Advisory Services
  Rochester, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Rochester, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2023-10-24 → 2025-09-05
  Avantax Advisory Services
  Dallas, TX
  Rochester, NY
  Rochester, NY

Other Businesses

1) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (FORMERLY DKCB WEALTH CARE ADVISORS, LLC) POSITION: MEMBER/REFERRING ADVISOR NATURE: FINANCIAL SERVICES INVESTMENT RELATED: YES NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2014 ADDRESS: ROCHESTER NY 14614, DESCRIPTION: PROVIDE FINANCIAL SERVICES TO CLIENTS. 2) DKCB FINANCIAL ADVISORS, LLC POSITION: INVESTMENT ADVISER REPRESENTATIVE NATURE: NULL INVESTMENT RELATED: YES START DATE: 10/31/2003 DESCRIPTION: REFERRAL - REFER HIGH NET WORTH CLIENTS TO RIA AS APPROPRIATE 3) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (RIA) POSITION: IAR, NATURE: FINANCIAL PLANNING INVESTMENT RELATED: YES NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: ADDRESS: 1000 FIRST FEDERAL PLAZA, ROCHESTER NY 14614, DESCRIPTION: FINANCIAL PLANNING. 4) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (INSURANCE) POSITION: Advisor NATURE: Insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: ADDRESS: 1000 First Federal Plaza, Rochester NY 14614, DESCRIPTION: Conducts Insurance Sales/Referrals 5) MONROE COMMUNITY COLLEGE FOUNDATION POSITION: Treasurer NATURE: Charitable foundation supporting the Monroe Community College INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 6 START DATE: 09/01/2014 ADDRESS: 1057 E Henrietta Rd, Rochester NY 14623, DESCRIPTION: Treasurer position, including approval of budgets, leading on financial decisions for the foundation. 6) JAMES ANDREW KIM 2020 TRUST POSITION: Trustee NATURE: Trustee of the grantor trust, with fiduciary responsibilities INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/08/2020 ADDRESS: 28 E Main Street, Suite 1000, Rochester NY 14610, DESCRIPTION: Oversight of trust assetsFiling of annual fiduciary returnsDistribution of benefits to beneficiaryCompliance with state lawsRecordkeeping for trust activity 7) STEPHEN YOUNG KIM 2020 TRUST POSITION: Trustee NATURE: Trustee of the grantor trust, with fiduciary responsibilities INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/08/2020 ADDRESS: 28 E Main Street, Suite 1000, Rochester NY 14610, DESCRIPTION: Oversight of trust assetsFiling of annual fiduciary returnsDistribution of benefits to beneficiaryCompliance with state lawsRecordkeeping for trust activity 8) JOYCE ELIZABETH KIM 2020 TRUST POSITION: Trustee NATURE: Trustee of the grantor trust, with fiduciary responsibilities INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/08/2020 ADDRESS: 28 E Main Street, Suite 1000, Rochester NY 14610, DESCRIPTION: Oversight of trust assetsFiling of annual fiduciary returnsDistribution of benefits to beneficiaryCompliance with state lawsRecordkeeping for trust activity 9) 1) DAVIE KAPLAN CPA, P.C; SHAREHOLDER AND FINANCIAL PROFESSIONAL; CPA SERVICES:; NIR; HRS 20; HRS: 100; 08/2007; 10) DAVIE KAPLAN PROFIT SHARING PLAN, INVESTMENT RELATED: YES, SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: PROFIT SHARING PLAN, START DATE: 01/2016, TRUSTEE, APX NUMBER OF HOURS PER WEEK: .5, REVIEWING INVESTMENT OPTIONS & PORTFOLIO PERFORMANCE WITHIN DAVIE KAPLAN'S PROFIT SHARING PLAN;

Exams

• S66 Uniform Combined State Law Examination
  2004-01-06

Designations