Siobhan T. Rogers
Professional summary
Siobhan Traynor Rogers, who also goes by Siobhan Alexis Traynor, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.
Siobhan is registered as a RR (Registered Representative) and started their career in finance in 1995. Siobhan has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Siobhan Traynor Rogers's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2017 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017September 27, 2016 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
June 4, 2012 - September 9, 2016
COHEN & STEERS SECURITIES, LLC
November 11, 2011 - April 23, 2012
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 6, 2002 - November 25, 2009
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 14, 1995 - May 24, 1996
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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