Douglas R. Rogers
Professional summary
Douglas Roger Rogers, who also goes by Douglas R Rogers, is a registered financial professional currently at EARLYBIRDCAPITAL, INC. located in Ny, New York.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1989. Douglas has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Roger Rogers's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 17, 2019 - Present
EARLYBIRDCAPITAL, INC.
Office #1: 366 Madison Ave. 8th Floor, Ny, NY 10017May 12, 1997 - May 12, 1997
CAPITAL & BUSINESS PLANNING, INC.
May 12, 1997 - October 12, 2018
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
January 1, 1993 - May 26, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
June 8, 1990 - April 12, 1991
RICKEL & ASSOCIATES, INC.
February 14, 1989 - May 26, 1989
PRINTON KANE & CO., L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/22/2020)
(10/17/2019)
(1/22/2020)
(10/17/2019)
(1/22/2020)
(10/17/2019)
(10/17/2019)
(1/22/2020)
(1/22/2020)
Exams
FINRA
Nasdaq Stock Market
Current Firm
EARLYBIRDCAPITAL, INC.
CRD#: 28629 / SEC#: , 8-43828
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
