Michael Rogers has been Chief Compliance Officer and President of 360 Financial since October 1995, is a control person of the firm and directly owns 75% or more of it.
360 Financial, Inc. is a Wayzata, MN firm with $701M under management, 1,206 clients and 10 advisers across 3 offices, as of its May 2026 filing.
Mike Rogers is President and Founder of 360 Financial, based in Wayzata. Before establishing the firm in 1995, he spent seven years with two of the nation's largest investment firms. He has 30+ years of experience and works with qualified retirement plan trustees, high-level professionals and business owners.
Michael Rogers’ longest registration is the current one, 13 years at LPL Financial LLC since 2013.
- LPL Financial LLCAlso current– present · 13 yearsAdviser representative and broker · Firm CRD 6413
Investment adviser representative registrations
Michael Rogers is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from August 2013; the most recent is Wisconsin, in January 2015.
- MinnesotaSince 28 July 2014
- TexasResidentSince 30 August 2013
- WisconsinSince 13 January 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 3 September 1998 |
| Series 31 | Futures Managed Funds Examination | 6 January 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 November 1989 |
| Series 7 | General Securities Representative Examination | 21 October 1989 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael Anthony Rogers
- CRD
- 1999760
- Firm
- 360 Financial · CRD 168600
- Role
- Chief Compliance Officer and President
- Office
- 849 LAKE STREET EAST, Wayzata, MN 55391
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 1989
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- 360financial.net
Where does Michael Rogers work?
Michael Rogers has been Chief Compliance Officer and President of 360 Financial, Inc. since October 1995, and is a control person of the firm.
Is Michael Rogers a financial advisor?
Yes. Michael Rogers has a current investment-adviser registration in Minnesota, Texas and Wisconsin, through 360 Financial since August 2013.
How many years of experience does Michael Rogers have?
Michael Rogers has 36 years in the financial industry, since November 1989, across 2 adviser firms.
What exams has Michael Rogers passed?
Michael Rogers has passed 4 licensing exams: the Series 7, Series 63, Series 31 and Series 65. The earliest, the Series 7, was passed in October 1989. FINRA credited Michael Rogers with the SIE, which began in October 2018.
Where is Michael Rogers based?
Michael Rogers’ registered office is in Wayzata, MN.
Is Michael Rogers registered with FINRA?
Yes. Michael Rogers has a current broker registration, under CRD 1999760.
Source: FINRA BrokerCheck
How can I verify Michael Rogers’ record?
Search CRD 1999760 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Michael Rogers’ full registration record.