JR
James C. Rogers
FORESIDE FINANCIAL SERVICES
New York, NY 10178
Some features on this profile are disabled
CRD#: 1624145
JR
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
Are you a "fiduciary"?
No
Aliases
James Rogers | Jim Rogers
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Segall Bryant & Hamill; Investment Related; New York, NY; Distribution; President/National Accounts; Start 05/2008; 160 hours per month; Managing financial intermediary platform relationships, coordinating manager due diligence and marketing to Financial Advisors. 2) Morris County Golf Club; Non-Investment Related; Morristown, NJ; Country Club; Treasurer / Board of Directors; Start 1/1/2024; 2 Hrs Per Month, 0 During Trading Hrs; Primarily responsible for the monitoring and collection of the club's account receivables.
CRS (Client Relationship Summary) - BD
Click below to view James Christian Rogers's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 25, 2024 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 101 Park Avenue Suite 3100, New York, NY 10178BD
CRD#: 148477
New York, NY
Past
February 21, 2023 - February 12, 2024
CORIENT
RIA
CRD#: 319448
NEW YORK, NY
Past
May 6, 2019 - October 17, 2024
ROOSEVELT INVESTMENTS
RIA
CRD#: 107853
MIAMI, FL
Past
May 12, 2008 - October 30, 2017
UNIFIED FINANCIAL SECURITIES, LLC
BD
CRD#: 7868
INDIANAPOLIS, IN
Past
July 7, 2004 - June 23, 2005
VOYA INVESTMENT MANAGEMENT CO. LLC
RIA
CRD#: 106494
MORRISTOWN, NJ
Past
October 28, 2002 - July 2, 2004
FURMAN SELZ CAPITAL MANAGEMENT LLC
RIA
CRD#: 105721
MORRISTOWN, NJ
Past
February 8, 2000 - June 23, 2005
ING INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 21644
NEW YORK, NY
Past
June 2, 1999 - February 8, 2000
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
Past
June 5, 1998 - June 20, 1999
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
July 23, 1992 - March 26, 1997
EQUITY CONSULTANTS, INC.
BD
CRD#: 16279
NEWTOWN, PA
Past
April 10, 1987 - May 24, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/8/2024)
RR
Alaska(5/14/2024)
RR
Arizona(5/9/2024)
RR
Arkansas(5/9/2024)
RR
California(4/29/2024)
RR
Colorado(5/9/2024)
RR
Connecticut(4/30/2024)
RR
Delaware(5/8/2024)
RR
District of Columbia(5/13/2024)
RR
Florida(4/30/2024)
RR
Georgia(5/1/2024)
RR
Hawaii(8/26/2024)
RR
Idaho(5/1/2024)
RR
Illinois(5/13/2024)
RR
Indiana(5/13/2024)
RR
Iowa(4/29/2024)
RR
Kansas(5/15/2024)
RR
Kentucky(5/21/2024)
RR
Louisiana(5/15/2024)
RR
Maine(5/9/2024)
RR
Maryland(5/16/2024)
RR
Massachusetts(4/29/2024)
RR
Michigan(5/1/2024)
RR
Minnesota(5/8/2024)
RR
Mississippi(5/9/2024)
RR
Missouri(5/2/2024)
RR
Montana(5/14/2024)
RR
Nebraska(4/29/2024)
RR
Nevada(5/8/2024)
RR
New Hampshire(5/9/2024)
RR
New Jersey(5/8/2024)
RR
New Mexico(5/9/2024)
RR
New York(4/29/2024)
RR
North Carolina(5/15/2024)
RR
North Dakota(5/13/2024)
RR
Ohio(4/29/2024)
RR
Oklahoma(5/9/2024)
RR
Oregon(5/8/2024)
RR
Pennsylvania(4/30/2024)
RR
Rhode Island(5/14/2024)
RR
South Carolina(5/15/2024)
RR
South Dakota(5/23/2024)
RR
Tennessee(4/30/2024)
RR
Texas(5/3/2024)
RR
Utah(4/29/2024)
RR
Vermont(5/8/2024)
RR
Virginia(5/9/2024)
RR
Washington(6/7/2024)
RR
West Virginia(5/9/2024)
RR
Wisconsin(5/2/2024)
RR
Wyoming(5/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FINANCIAL SERVICES, LLC
BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC
CRD#: 148477 / SEC#: , 8-68027
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 07/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
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
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.
