Suzanne T. Rogers
Professional summary
Suzanne Therese Rogers, who also goes by Suzanne Therese Lloyd, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Salt Lake City, Utah.
Suzanne is registered as a RR (Registered Representative) and started their career in finance in 1994. Suzanne has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Suzanne Therese Rogers's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 1, 2008 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 49 North 400 West, Salt Lake City, UT 84101October 25, 2007 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
April 21, 2005 - September 20, 2007
JOHN HANCOCK DISTRIBUTORS LLC
June 30, 1999 - March 31, 2005
DWS DISTRIBUTORS, INC.
March 23, 1999 - April 7, 1999
VOYA INVESTMENTS DISTRIBUTOR, LLC
November 1, 1996 - January 29, 1999
NICHOLAS-APPLEGATE SECURITIES LLC
July 17, 1995 - November 13, 1996
MERRIMAN CAPITAL, INC.
April 14, 1994 - June 8, 1995
VERAVEST INVESTMENTS, 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
(1/3/2011)
(1/1/2008)
(2/8/2008)
(1/5/2024)
(1/1/2008)
Exams
FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Salt Lake City, UT 84101TRUST BUT VERIFY
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