Todd W. 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.
Todd William Rogers, who also goes by Todd William Rogers, Todd Rogers, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1987. Todd had worked at 16 firms and has passed the Series 63, SIE 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
March 2, 2021 - March 9, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 11, 2020 - March 10, 2021
PRUCO SECURITIES, LLC.
November 25, 2019 - July 9, 2020
J.P. MORGAN SECURITIES LLC
January 13, 2017 - October 2, 2019
UMB FINANCIAL SERVICES, INC.
November 2, 2015 - November 18, 2016
STOCKCROSS FINANCIAL SERVICES, INC.
July 31, 2015 - October 15, 2015
EMPOWER FINANCIAL SERVICES, INC.
July 7, 2014 - October 20, 2014
ROSS, SINCLAIRE & ASSOCIATES, LLC
September 24, 2012 - July 17, 2014
OPPENHEIMER & CO. INC.
August 15, 2011 - October 3, 2012
STOCKCROSS FINANCIAL SERVICES, INC.
May 9, 2007 - August 17, 2011
JANNEY MONTGOMERY SCOTT LLC
April 1, 1999 - May 8, 2007
GMS GROUP
May 8, 1997 - February 9, 1999
GMS GROUP
May 6, 1996 - May 15, 1997
J. B. HANAUER & CO.
March 5, 1996 - June 3, 1996
FINANCIAL SQUARE PARTNERS
August 22, 1994 - September 27, 1995
CIBC WORLD MARKETS CORP.
February 5, 1993 - August 29, 1994
FINANCIAL SQUARE PARTNERS
June 12, 1990 - February 2, 1993
U.S. SECURITIES, INC.
November 17, 1989 - February 17, 1990
GMS GROUP
March 1, 1989 - December 18, 1989
YORK SECURITIES, INC.
July 21, 1987 - January 5, 1989
E.A. MOOS & CO. L.P.
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
