Douglas K. 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.
Douglas Keith Rogers, who also goes by Doug Rogers, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1988. Douglas had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2010 - January 2, 2015
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
March 10, 2008 - December 31, 2008
OLD MUTUAL FINANCIAL NETWORK SECURITIES, INC.
October 13, 2006 - March 4, 2008
QA3 FINANCIAL CORP.
November 8, 2004 - October 9, 2006
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 27, 2004 - November 11, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 3, 2004 - November 11, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 19, 2003 - January 30, 2004
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 13, 2002 - January 6, 2003
SAGE DISTRIBUTORS, INC.
July 15, 1997 - April 10, 2002
COREBRIDGE CAPITAL SERVICES, INC.
January 1, 1996 - July 15, 1997
SUNAMERICA SECURITIES, INC.
December 15, 1994 - November 15, 1995
BA INVESTMENT SERVICES, INC.
September 12, 1994 - November 21, 1994
U.S. BANCORP INVESTMENTS, INC.
August 17, 1992 - August 26, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 15, 1988 - December 31, 1990
PFS INVESTMENTS 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
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
CRD#: 40178 / SEC#: , 8-48984
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JACKSON NATIONAL LIFE INSURANCE COMPANY | OWNER | |
| ASHIOTOU, MARINA | DIRECTOR | 8157690 |
| BINIORIS, SAVVAS PANAGIOTIS | DIRECTOR | 6314984 |
| CHILDS, GARETT JAMES | DIRECTOR | 6288054 |
| CRANMORE, HILARY RAE | DIRECTOR | 4880665 |
| GOLSON, ASHLEY SUZETTE | SENIOR VICE PRESIDENT, NATIONAL SALES DESK | 5461231 |
| KAISER, HEIDI LYNN | SENIOR VICE PRESIDENT AND GENERAL COUNSEL | 3001204 |
| LOWRY, KRISTINE MARIE | VICE PRESIDENT, FINOP AND CONTROLLER | 4168279 |
| LUEBBERS, KEVIN JAMES | SENIOR VICE PRESIDENT, NATIONAL SALES MANAGER | 4399095 |
| LUPTON, RYAN DAVID | CHIEF COMPLIANCE OFFICER | 4822827 |
| MASUCCI, GREGORY R | SENIOR VICE PRESIDENT, STRATEGIC RELATIONSHIPS | 2659967 |
| REED, ALISON RUSS | EXECUTIVE VICE PRESIDENT, HEAD OF DISTRIBUTION | 3241221 |
Disclosures
| Arbitration | 2 |
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.
