Edward S. 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.
Edward Steven Rogers was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1986. Edward had worked at 10 firms and has passed the Series 63, Series 3, 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
January 8, 1999 - March 1, 1999
PREFERRED SECURITIES GROUP, INC.
November 3, 1995 - March 21, 1996
D.L. CROMWELL INVESTMENTS, INC.
February 25, 1994 - September 28, 1995
HUNTER INTERNATIONAL SECURITIES, INC.
April 20, 1993 - November 12, 1993
R.B. WEBSTER INVESTMENTS, INC.
June 15, 1992 - May 6, 1993
JOSEPHTHAL & CO., INC.
September 12, 1991 - June 3, 1992
CHATFIELD DEAN & CO., INC.
November 20, 1990 - January 8, 1991
R.B. WEBSTER INVESTMENTS, INC.
October 11, 1989 - October 16, 1990
VANGUARD CAPITAL
May 1, 1989 - October 2, 1989
GSG GLOBAL SECURITIES GROUP INC.
September 1, 1988 - April 28, 1989
W. D. FARD SECURITIES, INC.
December 11, 1986 - September 28, 1988
GRAYSTONE NASH, 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
PREFERRED SECURITIES GROUP, INC.
CRD#: 35704 / SEC#: , 8-46946
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STOCNET CORPORATION | SHAREHOLDER | |
| GENNA, JOHN VINCENT JR | SHAREHOLDER | 2765236 |
| VARANO, NICHOLAS | SHAREHOLDER | 4246252 |
| BADGER, BERKLEY CREIGHTON | MUNI PRINCIPAL | 713972 |
| HOHMAN, MICHAEL JAMES | FIN/OP | 3031942 |
| LESSINGER, VICTOR ALAN | PRESIDENT, CHIEF COMPLIANCE OFFICER | 830821 |
| MCLEOD, GREGORY MALCOLM | SENIOR OPTION PRINCIPAL | 2741097 |
Disclosures
| Regulatory Event | 4 |
| 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.
