John William Rogers Jr
Professional Summary
John William Rogers JR, who also goes by John W. Rogers Jr., John William Rogers, is a registered financial advisor currently at INTERCOASTAL CAPITAL MARKETS, INC. located in Buffalo, New York. John is registered as a RR (Registered Representative) and started their career in finance in 1994. John has worked at 10 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John W. Rogers Jr., John William Rogers
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
BELLAMAH, NEUHAUSER & BARRETT, INC. | INTERCOASTAL CAPITAL MARKETS, INC. (ICM) | INTERCOASTAL CAPITAL MARKETS, INC.
Contact Information
Main Address
200 East Palmetto Park Road Suite 108, Boca Raton, FL 33432Mailing Address
200 East Palmetto Park Road Suite 108, Boca Raton, FL 33432Phone Number
(561) 939-8282Established
District of Columbia since 07/26/1960Firm Type
CorporationFiscal Year End
MayFirm Size
SmallFINRA licenses (38 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
9Arbitration
2Bond
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(9/1/2015)
(8/2/2019)
(2/27/2015)
(4/14/2014)
(6/29/2012)
(8/23/2012)
(2/23/2016)
(6/19/2015)
(2/27/2015)
(7/22/2015)
(10/27/2016)
(6/26/2017)
(5/11/2015)
(11/2/2020)
(6/29/2012)
(2/27/2015)
(5/6/2015)
(4/24/2015)
(1/4/2016)
(10/18/2019)
(7/13/2017)
(4/21/2014)
(6/29/2012)
(3/2/2015)
(4/21/2015)
(7/23/2015)
(4/26/2019)
(7/27/2017)
(9/6/2017)
(5/25/2016)
(9/11/2014)
(3/3/2015)
(2/5/2019)
(6/8/2015)
(5/6/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1994About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John William Rogers JR's CRS (Customer Relationship Summary).
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