Robert B. Rogan
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.
Robert Barth Rogan, who also goes by Robert B Rogan, Robert Rogan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 5 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
January 3, 2017 - December 26, 2017
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 18, 2002 - January 9, 2017
BROKERTEC AMERICAS LLC
May 4, 2000 - November 30, 2000
COLLINS STEWART (SECURITIES) INC.
March 21, 1995 - January 9, 2001
TULLETT LIBERTY BROKERAGE INC.
March 3, 1993 - March 17, 1995
CANTOR FITZGERALD SECURITIES
April 14, 1988 - February 4, 1993
TULLETT LIBERTY BROKERAGE INC.
State Registrations and Notice Filings
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Exams
Current Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
Red Flags
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