Kimberly J. Rogers-carrete
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.
Kimberly Jacqueline Rogers-carrete, who also goes by Jacqueline Kimberly Rogers, Kim Rogers, Jacqueline Kimberly Rogerscarrete, Jacqueline Kimberly Rogerscarrette, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1987. Kimberly had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2012 - July 10, 2014
AGA SECURITIES, LLC
October 12, 2000 - June 21, 2001
THE PRECURSOR GROUP BROKER-DEALER, LLC
April 6, 1999 - September 25, 2000
E*OFFERING
April 18, 1997 - January 15, 1999
CHARLES SCHWAB & CO., INC.
June 17, 1994 - May 16, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
January 10, 1992 - June 23, 1994
FINANCIAL SQUARE PARTNERS
September 22, 1987 - December 12, 1990
MORGAN STANLEY & CO. LLC
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
AGA SECURITIES, LLC
CRD#: 122781 / SEC#: , 8-65531
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
