Earl W. Rogers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Earl William Rogers, who also goes by Bill Rogers, Earle William Rogers, was a registered financial professional .
Earl is a previously registered financial professional and started their career in finance in 1981. Earl had worked at 4 firms and has passed the Series 63, SIE, PC, Series 1, Series 53, Series 4, Series 12 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2000 - December 31, 2006
ROGERS, E. WILLIAM
December 10, 1992 - December 31, 2016
LPL FINANCIAL LLC
December 3, 1992 - December 31, 2016
LPL FINANCIAL LLC
November 13, 1992 - November 24, 1992
LPL FINANCIAL LLC
May 27, 1983 - November 30, 1992
UBS FINANCIAL SERVICES INC.
September 28, 1981 - June 8, 1983
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 5/24/1977
AMEX Put and Call ExamSeries 1
Date: 9/12/1969
Registered Representative ExaminationSeries 12
Date: 12/19/1981
NYSE Branch Manager ExaminationCurrent firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
