Joanne 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.
Joanne Rogers, who also goes by Joanne R Hense, Joanne Rogers Hense, Joanne (nmn) Rogers, Joanne Rogers, was a registered financial professional .
Joanne is a previously registered financial professional and started their career in finance in 1984. Joanne had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2019 - November 3, 2023
LPL FINANCIAL LLC
January 8, 2019 - November 3, 2023
LPL FINANCIAL LLC
September 16, 2010 - January 11, 2019
SECURITIES AMERICA ADVISORS, INC.
June 24, 2010 - January 11, 2019
SECURITIES AMERICA, INC.
February 1, 2010 - June 18, 2010
U.S. BANCORP INVESTMENTS, INC.
May 19, 2005 - October 6, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
May 18, 2005 - March 20, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 18, 2003 - April 8, 2004
SUNAMERICA SECURITIES, INC.
June 27, 2003 - April 8, 2004
SUNAMERICA SECURITIES, INC.
June 27, 2003 - April 8, 2004
SPELMAN & CO., INC.
June 27, 2003 - April 8, 2004
SENTRA SECURITIES CORPORATION
September 27, 1999 - December 17, 2001
CHARLES SCHWAB & CO., INC.
March 24, 1986 - July 14, 1999
CHARLES SCHWAB & CO., INC.
September 20, 1984 - March 11, 1986
HAAS SECURITIES CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 5/2/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
