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Ross Phillip Roggensack

Oak City Investment Consulting

Wake Forest, NC

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Current Employers
Oak City Investment Consulting

9733 Fonville Rd, Wake Forest, NC 27587 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-04-16
NC RA APPROVED 2012-04-11
  • TX RA
    APPROVED_RES
    Since 2012-04-16
  • NC RA
    APPROVED
    Since 2012-04-11

Branch Locations

9733 Fonville Rd, Wake Forest, NC 27587 • 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
OrganizationCityStateFromTo
Oak City Consulting, Llc Raleigh NC 03/2012 Present
  • 03/2012 → Present
    Oak City Consulting, Llc
    Raleigh, NC
Previous Registrations
  • 2009-01-12 → 2012-03-29
    Morgan Keegan & Company, Llc
    Raleigh, NC
  • 2001-12-31 → 2009-02-02
    Citigroup Global Markets Inc.
    Raleigh, NC
    Raleigh, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-07-14
S63 Uniform Securities Agent State Law Examination 1990-09-11
  • S65 Uniform Investment Adviser Law Examination
    1994-07-14
  • S63 Uniform Securities Agent State Law Examination
    1990-09-11
Other Names
  • Ross P Roggensack

View on SEC IAPD

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Other Offices

EDWARD JONES · Wake Forest, NC
G. A. REPPLE & COMPANY · WAKE FOREST, NC
ALTRIUS CAPITAL MANAGEMENT, INC. · WAKE FOREST, NC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Wake Forest, NC
EDWARD JONES · WAKE FOREST, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WAKE FOREST, NC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Wake Forest, NC
MOLOKAI INVESTMENT MANAGEMENT, LLC · WAKE FOREST, NC

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