Loren B. 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.
Loren Bradley Rogers was a registered financial professional .
Loren is a previously registered financial professional and started their career in finance in 1987. Loren had worked at 16 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2014 - December 7, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 31, 2013 - December 7, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 3, 2011 - December 31, 2014
INVESTMENT MANAGEMENT & PLANNING, LLC
July 20, 2007 - September 22, 2009
LPL FINANCIAL LLC
June 4, 2007 - September 22, 2009
LPL FINANCIAL LLC
September 8, 2005 - February 1, 2007
COMMONWEALTH FINANCIAL NETWORK
September 8, 2005 - February 1, 2007
COMMONWEALTH FINANCIAL NETWORK
October 27, 2004 - September 12, 2005
SUNAMERICA SECURITIES, INC.
October 14, 2004 - September 12, 2005
SUNAMERICA SECURITIES, INC.
June 1, 1995 - October 14, 2004
LPL FINANCIAL LLC
May 31, 1995 - October 14, 2004
LPL FINANCIAL LLC
March 2, 1995 - April 4, 1995
BA INVESTMENT SERVICES, INC.
August 15, 1994 - March 10, 1995
ADVANTAGE CAPITAL CORPORATION
November 18, 1993 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
August 5, 1992 - July 21, 1993
UBS FINANCIAL SERVICES INC.
April 27, 1992 - August 11, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 9, 1991 - February 25, 1992
METROPOLITAN LIFE INSURANCE COMPANY
August 21, 1991 - February 25, 1992
MSI FINANCIAL SERVICES, INC.
November 6, 1990 - February 22, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 6, 1990 - February 22, 1991
PRUCO SECURITIES, LLC.
October 13, 1987 - December 11, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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