Harold J. 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.
Harold James Rogers, who also goes by Hal Rogers, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1983. Harold had worked at 5 firms and has passed the Series 63, SIE, Series 7 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
November 13, 1987 - December 31, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 6, 1987 - December 31, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 4, 1986 - October 15, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
July 11, 1985 - January 22, 1986
PRUDENTIAL EQUITY GROUP, LLC
June 21, 1984 - August 15, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
December 22, 1983 - June 18, 1984
RAYMOND JAMES FINANCIAL SERVICES, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
