Susan R. 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.
Susan R Rogers, CFP®, who also goes by Susan Jean Rockwood, Susan Rockwood Rogers, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1984. Susan had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2006 - January 30, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 21, 2006 - January 30, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 4, 2006 - July 20, 2006
MORGAN PEABODY, INC.
October 4, 2004 - November 30, 2005
WATERSTONE FINANCIAL GROUP, INC.
August 3, 2004 - November 30, 2005
WATERSTONE FINANCIAL GROUP, INC.
March 13, 2001 - July 2, 2004
UNITED SECURITIES ALLIANCE, INC.
September 19, 1996 - January 8, 2001
WMA SECURITIES, INC.
May 9, 1989 - October 2, 1996
PFS INVESTMENTS INC.
May 3, 1988 - December 19, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
April 11, 1984 - May 13, 1988
PFS INVESTMENTS 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.
