Richard Rotgers
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.
Richard Rotgers JR was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 5 firms and has passed the Series 63 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
March 25, 1997 - September 11, 1997
F1 TRADING.COM, INC.
September 5, 1996 - April 4, 1997
CORTLANDT CAPITAL CORPORATION
May 1, 1996 - May 14, 1996
PRUDENTIAL EQUITY GROUP, LLC
October 30, 1995 - May 29, 1996
CAPITAL SECURITIES OF AMERICA, INC.
March 3, 1995 - October 31, 1995
FAIRCHILD FINANCIAL GROUP, INC.
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
F1 TRADING.COM, INC.
CRD#: 20375 / SEC#: , 8-38287
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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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