Richard F. 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.
Richard Francis Rogers was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 5 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 1997 - July 12, 2012
FBN SECURITIES, INC.
July 2, 1996 - May 20, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
February 11, 1991 - June 27, 1996
GRUNTAL & CO., L.L.C.
May 29, 1990 - February 12, 1991
JJC SECURITIES CO., INC.
October 25, 1989 - May 29, 1990
JSC SECURITIES, 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
Current Firm
FBN SECURITIES, INC.
CRD#: 18315 / SEC#: , 8-30461
Contact information
FINRA licenses (36 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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