How trustworthy is your Financial Advisor?

CHECK FOR RED FLAGS

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See the full picture before you decide

Nearly 100,000 registered financial advisors have customer disputes, bankruptcies, criminal activity, and more on their records. In 2023, about 60 red flags were recorded daily. That's why it's crucial to check if your advisor has any red flags and decide whether you're comfortable with them.

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ADVISOR PROFILE

I*2196 FOR PROFIT OR NOT FOR PROFIT: FINANCIAL SELF-REGULATORY ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FINRA INVESTMENT RELATED: Y ADDRESS OF BUSINESS: NEW YORK, NEW YORK 10006 NATURE OF BUSINESS: FINANCIAL INDUSTRY SELF-REGULATORY BODY, POSITION, TITLE, ASSOCIATION: ARBITRATOR, START DATE OF RELATIONSHIP: 5/11/2011 NUMBER OF HOURS DEVOTED: 24 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 16 DUTIES: FINRA ARBITRATOR I*117435 For profit or not for profit: Non-Profit Organization Name of outside business organization: Roland Green Community Association Investment related: N Address of business: Baltimore, Maryland 21208 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 7/1/2017 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 5 Duties: Board member for my small community home owners association.

FIRM INFORMATION

Some financial advisors may work at more than one firm. Click view work history below to review their data.

GET PROTECTED WITH ADVISORCHECK

At AdvisorCheck, we want to ensure that the financial advisor you work with, or plan to work with, provides you with peace of mind that your money is safe. That’s why we offer background checks that cover 9 key categories.
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Jonathan D Rogers

Experience: 36 years / 1 firms

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