James H. 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.
James Hugh Rogan, who also goes by James H Rogan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2014 - December 14, 2017
WALL STREET ACCESS
March 1, 2010 - October 18, 2012
CREDIT SUISSE SECURITIES (USA) LLC
January 5, 2007 - June 16, 2009
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
June 16, 2003 - January 5, 2007
GOLDMAN SACHS & CO. LLC
April 30, 1998 - March 14, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
February 11, 1995 - April 20, 1998
NATIONAL FINANCIAL SERVICES LLC
August 24, 1993 - January 30, 1995
WALL STREET ACCESS
November 6, 1992 - August 31, 1993
NATIONAL FINANCIAL SERVICES LLC
December 19, 1990 - October 5, 1992
WALL STREET ACCESS
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
Series 8
Date: 1/3/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
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.
