John W. Rogers
Professional summary
John William Rogers JR, who also goes by John W. Rogers Jr., John William Rogers, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John William Rogers JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2012 - Present
INTERCOASTAL CAPITAL MARKETS, INC.
Office #1: 1207 Delaware Ave Ste 118, Buffalo, NY 14209January 12, 2010 - January 17, 2012
JVB FINANCIAL GROUP, LLC
March 27, 2006 - September 24, 2009
AMERICAN SECURITIES GROUP, INC.
August 9, 2005 - October 17, 2005
TRIDENT PARTNERS LTD.
March 15, 2001 - June 28, 2005
J.P. MORGAN CLEARING CORP.
March 15, 2001 - June 28, 2005
J.P. MORGAN SECURITIES LLC
April 19, 2000 - February 7, 2001
INSTINET.COM CORPORATION
September 8, 1998 - December 22, 1999
REPUBLIC FINANCIAL SERVICES CORPORATION
September 14, 1995 - September 11, 1998
BULL & BEAR SECURITIES, INC.
July 18, 1994 - September 8, 1995
MIDAS SECURITIES 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
(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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
INTERCOASTAL CAPITAL MARKETS, INC.
CRD#: 83 / SEC#: , 8-9698
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
| Bond | 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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Company Information
INTERCOASTAL CAPITAL MARKETS, INC.
CRD#: 83Buffalo, NY 14209TRUST BUT VERIFY
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