John A. Rogowski
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.
John Anthony Rogowski, who also goes by John A Rogowski, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1985. John had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2009 - December 23, 2011
NATIONAL SECURITIES CORPORATION
March 10, 2005 - September 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 11, 2004 - September 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 21, 2001 - October 25, 2004
CITIGROUP GLOBAL MARKETS INC.
October 7, 1991 - October 25, 2004
CITIGROUP GLOBAL MARKETS INC.
June 19, 1985 - September 19, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
