James C. Rogers
Professional summary
James Christian Rogers, CIMA®, who also goes by James Rogers, Jim Rogers, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has worked at 11 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Christian Rogers's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2024 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 101 Park Avenue Suite 3100, New York, NY 10178February 21, 2023 - February 12, 2024
CORIENT
May 6, 2019 - October 17, 2024
ROOSEVELT INVESTMENTS
May 12, 2008 - October 30, 2017
UNIFIED FINANCIAL SECURITIES, LLC
July 7, 2004 - June 23, 2005
VOYA INVESTMENT MANAGEMENT CO. LLC
October 28, 2002 - July 2, 2004
FURMAN SELZ CAPITAL MANAGEMENT LLC
February 8, 2000 - June 23, 2005
ING INVESTMENT MANAGEMENT SERVICES LLC
June 2, 1999 - February 8, 2000
ABN AMRO SECURITIES LLC
June 5, 1998 - June 20, 1999
SIGNATOR INVESTORS, INC.
July 23, 1992 - March 26, 1997
EQUITY CONSULTANTS, INC.
April 10, 1987 - May 24, 1990
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
(5/8/2024)
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Exams
FINRA
Current Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
