James P. 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.
James Patrick Rogers was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 5 firms and has passed the Series 63, Series 3 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
September 29, 2017 - May 28, 2020
CONSTELLATION WEALTH ADVISORS, LLC
September 24, 2014 - February 8, 2021
CONSTELLATION WEALTH ADVISORS
April 21, 2008 - April 3, 2013
GATEWAY INVESTMENT ADVISERS, LLC
June 28, 1999 - May 15, 2008
GATEWAY INVESTMENT ADVISERS LP
September 20, 1988 - June 2, 1989
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
CONSTELLATION WEALTH ADVISORS, LLC
CRD#: 289860 / SEC#: 801-111760
Contact information
Red Flags
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