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| ROGO Capital LLC |
Team ROGO
Lloyd J. Kagin, Chairman & Chief Executive Officer, has been employed in the investment banking and securities brokerage industry in a
range of senior executive and sales-related positions since 1980, including Chief Execute Officer of a publicly-traded financial services company,
senior managing director and head of the retail brokerage business unit for a top 20 brokerage firm, senior marketing and strategy executive,
retail brokerage branch manager, and retail brokerage account representative. Prior to joining ROGO Capital he was the president and Chief
Operating Officer of Viscogliosi & Co., Inc., an investment bank specializing in the musculoskeletal/orthopedic segment of health care and the
managing partner of Securities Brokerage Consultants LLC, a consulting firm providing advisory services to securities broker-dealers and
investment banks. Mr. Kagin received a B.A. from New York University in 1978 in neurophysiology, pursued graduate studies in medicine at St.
George's University, School of Medicine in 1979 and pursued graduate studies in accounting and marketing at Fordham University, School of
Business from 1980-1981. He is qualified and registered with the FINRA having successfully passed the Series 7, 9, 10, 24, and 63
examinations.
Contact information: (917) 865-2310, ljkagin@rogocapital.com
Robert B. Gerstein, President and Chief Financial Officer, , has been employed in the investment banking, asset management and
securities brokerage industries in a range of senior executive, financial, administrative and operations positions since 1987 including, Chief
Financial Officer of the retail brokerage unit of a publicly traded financial services firm, Chief Executive Officer of a financial service consulting firm,
Chief Financial and Compliance Officer of an asset management firm and operations and compliance director for a fixed income trading unit of a
publicly traded insurance company. Mr. Gerstein possesses significant experience in financial reporting, securities operations and compliance,
with a strong general management background in systems, telecommunications, business start-up, and trading and sales covering both the
domestic and international markets in the securities brokerage and advisory industries. Mr. Gerstein received a B.S. in management from
Northeastern University, College of Business Administration in 1988. He is qualified and registered with the FINRA having successfully passed
the Series 4, 7, 24, 27, 53, 55 and 63 examinations.
Contact information: (561) 988-2600, rgerstein@rogocapital.com
Michael J. Kuntz, Managing Director- Head of Investment Banking, has been employed in the investment banking and technology and
entertainment industries in a range of senior executive positions since 1988, including Chief Financial and Operating Officer at Wet Electrics, a
multi-media software integration company, Cirrus Digital Communications, a broadband delivery company and CyberAction, a digital content
management company. During his tenures at Pennsylvania Merchant Group Ltd, Pacific Growth Equities and Ferris, Baker Watts investment
banks Mr. Kuntz focused on small to mid-cap emerging growth companies, raising approximately $1.0 billion of financing for companies in the
technology, medical, biotech and specialty retail industries. Mr. Kuntz received his BA in finance from Boston College and an MBA from Duke
University. He is qualified and registered with the FINRA, having successfully passed the Series 7and 63 examinations.
Contact information: (561) 715-9946, mkuntz@rogocapital.com
Kevin Thomas Henry, Managing Director-Institutional Sales, has been employed in the investing banking and securities brokerage industry
in a range of banking and sales-related positions since 1988. Prior to joining the firm, Mr. Henry was the principal executive in charge of all equity
product lines including trading; sales/trading; and investment banking distribution for The Riderwood Group, Inc. Prior to joining Riderwood Mr.
Henry spent 15 years at Schwab Capital Markets where he held several senior positions including senior NASDAQ trader and sales trader in
charge of key accounts. In addition to his trading responsibilities, he was part of Schwab’s trading management that ran day-to-day operations.
Mr. Henry was a sales trader at Ferris Baker Watts from 1989 to 1991 and a trading liaison at Thompson McKinnon Securities from 1988 to 1989.
He is a member of the Mid-Atlantic Security Traders Association and past member of the Security Traders Association of New York. Mr. Henry is
qualified and registered with the FINRA, having successfully passed the Series 6, 7, 24, 55 and 63 examinations.
Contact information: (561) 988-2600, khenry@rogocapital.com
Christopher C. Reynolds, Managing Director - Beverage Investment Banking, has been employed in the investing banking and securities
brokerage industry in a range of banking and sales-related positions since 1992, including senior executive in charge of a specialty finance group
for a major investment bank, business development officer for a major brokerage company and a retail registered representative based in Palm
Beach and London. Prior to joining ROGO Capital he was the senior vice president responsible for the establishment of the beverage bottle
bottling group at Merrill Lynch where he established a strategic national focus for beverage finance and coordinated the wealth management and
insurance divisions to provide a comprehensive, strategic service to the industry. Mr. Reynolds is member of the National Beer Wholesalers
Association and has been a speaker at the National Beer Wholesalers Association Convention 2006 in Orlando, as well as at the Florida Beer
Wholesalers Association Convention 2006, the Wholesale Beer & Wine Association of Ohio Convention 2006 and the South Carolina Beer
Wholesalers Association Convention 2005. Mr. Reynolds previously served in United States Army Special Forces (Green Berets) and is an
alumnus of the London Business School in London, England and George Washington University in Washington DC. Mr. Reynolds is qualified
and registered with the FINRA having successfully passed the Series 7, 31, and 66 examinations and is licensed to sell life and health and
variable annuity insurance in the State of Florida.
Contact information: (561) 676-8146, creynolds@rogocapital.com
Fred Greene, Vice President – Sales, has been employed in the investment banking and mortgage banking industries in range of marketing
and sales positions since 2000. Prior to joining ROGO Capital, from 2006 to 2008, he was a director of marketing and sales for Arriva Capital,
Inc., a boutique investment banking firm where he specialized in the introduction of small and mid-sized companies to institutional and high net
worth investors. From 2001 to 2006, Mr. Greene managed the sales department and was an account executive in the mortgage banking division
of Sun Trust Bank. From 2000 to 2001, he was a financial advisor for First Union Securities. Mr. Greene served with honor and distinction in the
United States Marine Corp. from 1997 to 2003. He received a B.S. from the University of Florida, a M.B.A. from the University of Phoenix, is a
Florida licensed Real Estate and Mortgage Broker and is qualified and registered with the FINRA having successfully passed the Series 7, 63
and 65 examinations.
Contact information: (561) 542-1689, fgreene@rogocapital.com
Lloyd J. Kagin, Chairman & Chief Executive Officer, has been employed in the investment banking and securities brokerage industry in a
range of senior executive and sales-related positions since 1980, including Chief Execute Officer of a publicly-traded financial services company,
senior managing director and head of the retail brokerage business unit for a top 20 brokerage firm, senior marketing and strategy executive,
retail brokerage branch manager, and retail brokerage account representative. Prior to joining ROGO Capital he was the president and Chief
Operating Officer of Viscogliosi & Co., Inc., an investment bank specializing in the musculoskeletal/orthopedic segment of health care and the
managing partner of Securities Brokerage Consultants LLC, a consulting firm providing advisory services to securities broker-dealers and
investment banks. Mr. Kagin received a B.A. from New York University in 1978 in neurophysiology, pursued graduate studies in medicine at St.
George's University, School of Medicine in 1979 and pursued graduate studies in accounting and marketing at Fordham University, School of
Business from 1980-1981. He is qualified and registered with the FINRA having successfully passed the Series 7, 9, 10, 24, and 63
examinations.
Contact information: (917) 865-2310, ljkagin@rogocapital.com
Robert B. Gerstein, President and Chief Financial Officer, , has been employed in the investment banking, asset management and
securities brokerage industries in a range of senior executive, financial, administrative and operations positions since 1987 including, Chief
Financial Officer of the retail brokerage unit of a publicly traded financial services firm, Chief Executive Officer of a financial service consulting firm,
Chief Financial and Compliance Officer of an asset management firm and operations and compliance director for a fixed income trading unit of a
publicly traded insurance company. Mr. Gerstein possesses significant experience in financial reporting, securities operations and compliance,
with a strong general management background in systems, telecommunications, business start-up, and trading and sales covering both the
domestic and international markets in the securities brokerage and advisory industries. Mr. Gerstein received a B.S. in management from
Northeastern University, College of Business Administration in 1988. He is qualified and registered with the FINRA having successfully passed
the Series 4, 7, 24, 27, 53, 55 and 63 examinations.
Contact information: (561) 988-2600, rgerstein@rogocapital.com
Michael J. Kuntz, Managing Director- Head of Investment Banking, has been employed in the investment banking and technology and
entertainment industries in a range of senior executive positions since 1988, including Chief Financial and Operating Officer at Wet Electrics, a
multi-media software integration company, Cirrus Digital Communications, a broadband delivery company and CyberAction, a digital content
management company. During his tenures at Pennsylvania Merchant Group Ltd, Pacific Growth Equities and Ferris, Baker Watts investment
banks Mr. Kuntz focused on small to mid-cap emerging growth companies, raising approximately $1.0 billion of financing for companies in the
technology, medical, biotech and specialty retail industries. Mr. Kuntz received his BA in finance from Boston College and an MBA from Duke
University. He is qualified and registered with the FINRA, having successfully passed the Series 7and 63 examinations.
Contact information: (561) 715-9946, mkuntz@rogocapital.com
Kevin Thomas Henry, Managing Director-Institutional Sales, has been employed in the investing banking and securities brokerage industry
in a range of banking and sales-related positions since 1988. Prior to joining the firm, Mr. Henry was the principal executive in charge of all equity
product lines including trading; sales/trading; and investment banking distribution for The Riderwood Group, Inc. Prior to joining Riderwood Mr.
Henry spent 15 years at Schwab Capital Markets where he held several senior positions including senior NASDAQ trader and sales trader in
charge of key accounts. In addition to his trading responsibilities, he was part of Schwab’s trading management that ran day-to-day operations.
Mr. Henry was a sales trader at Ferris Baker Watts from 1989 to 1991 and a trading liaison at Thompson McKinnon Securities from 1988 to 1989.
He is a member of the Mid-Atlantic Security Traders Association and past member of the Security Traders Association of New York. Mr. Henry is
qualified and registered with the FINRA, having successfully passed the Series 6, 7, 24, 55 and 63 examinations.
Contact information: (561) 988-2600, khenry@rogocapital.com
Christopher C. Reynolds, Managing Director - Beverage Investment Banking, has been employed in the investing banking and securities
brokerage industry in a range of banking and sales-related positions since 1992, including senior executive in charge of a specialty finance group
for a major investment bank, business development officer for a major brokerage company and a retail registered representative based in Palm
Beach and London. Prior to joining ROGO Capital he was the senior vice president responsible for the establishment of the beverage bottle
bottling group at Merrill Lynch where he established a strategic national focus for beverage finance and coordinated the wealth management and
insurance divisions to provide a comprehensive, strategic service to the industry. Mr. Reynolds is member of the National Beer Wholesalers
Association and has been a speaker at the National Beer Wholesalers Association Convention 2006 in Orlando, as well as at the Florida Beer
Wholesalers Association Convention 2006, the Wholesale Beer & Wine Association of Ohio Convention 2006 and the South Carolina Beer
Wholesalers Association Convention 2005. Mr. Reynolds previously served in United States Army Special Forces (Green Berets) and is an
alumnus of the London Business School in London, England and George Washington University in Washington DC. Mr. Reynolds is qualified
and registered with the FINRA having successfully passed the Series 7, 31, and 66 examinations and is licensed to sell life and health and
variable annuity insurance in the State of Florida.
Contact information: (561) 676-8146, creynolds@rogocapital.com
Fred Greene, Vice President – Sales, has been employed in the investment banking and mortgage banking industries in range of marketing
and sales positions since 2000. Prior to joining ROGO Capital, from 2006 to 2008, he was a director of marketing and sales for Arriva Capital,
Inc., a boutique investment banking firm where he specialized in the introduction of small and mid-sized companies to institutional and high net
worth investors. From 2001 to 2006, Mr. Greene managed the sales department and was an account executive in the mortgage banking division
of Sun Trust Bank. From 2000 to 2001, he was a financial advisor for First Union Securities. Mr. Greene served with honor and distinction in the
United States Marine Corp. from 1997 to 2003. He received a B.S. from the University of Florida, a M.B.A. from the University of Phoenix, is a
Florida licensed Real Estate and Mortgage Broker and is qualified and registered with the FINRA having successfully passed the Series 7, 63
and 65 examinations.
Contact information: (561) 542-1689, fgreene@rogocapital.com
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