J L. Rogers

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CRD#: 2680261

Professional summary

J Leonard Rogers III, who also goes by Jay L Rogers, Jay Leonard Rogers III, was a registered financial advisor .

J is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. J had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 31 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay L Rogers | Jay Leonard Rogers Iii

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.

ALPHA STRATEGIES INVESTMENT CONSULTING INC. 10 David Street Ladera Ranch, CA 92694 PRESIDENT/INVESTMENT CONSULTING EFFECTIVE: 03/2009 240 HOURS PER MONTH/8 HOURS PER MONTH DURING MARKET HOURS WM DEVELOPMENT 1809 Capetown Circle Costa Mesa, CA 92627 COB/Hospitality Services EFFECTIVE: June, 2016 20 HOURS PER MONTH/5 HOURS PER MONTH DURING MARKET HOURS WATERFALL FUNDING GROUP 1 Sugar Creek Center Blvd., Suite 1075 Sugar Land, TX 77478 MANAGING PARTNER / LEGAL FUNDING EFFECTIVE: May 2015 2 HOURS PER WEEK/ 8 HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 14, 2018 - January 2, 2020

FIVE 9 SECURITIES, LLC

CRD#: 114853

Ladera Ranch, CA

Past

December 17, 2015 - December 1, 2016

FIVE 9 SECURITIES, LLC

CRD#: 114853

LADERA RANCH, CA

Past

October 7, 2014 - December 16, 2015

EQUINOX SECURITIES, INC.

RIA

CRD#: 145790

Irvine, CA

Past

October 7, 2014 - December 16, 2015

EQUINOX SECURITIES, INC.

CRD#: 145790

Irvine, CA

Past

May 8, 2013 - September 18, 2014

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

NEWPORT BEACH, CA

Past

December 5, 2012 - April 16, 2013

FIRST LIBERTIES FINANCIAL

CRD#: 14432

TAMPA, FL

Past

August 2, 2011 - August 31, 2012

ASCENDIANT SECURITIES, LLC

CRD#: 129236

JUPITER, FL

Past

October 14, 2010 - July 1, 2011

T.R. WINSTON & COMPANY, LLC

CRD#: 10571

BEDMINSTER, NJ

Past

January 30, 2004 - November 23, 2009

DIAMOND PORTFOLIO ADVISORS, LLC

RIA

CRD#: 115749

LOS ANGELES, CA

Past

March 6, 2001 - July 17, 2001

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

March 9, 1998 - March 16, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

December 18, 1995 - January 21, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/16/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/12/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/16/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/13/2010

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 12/29/1995

Futures Managed Funds Examination

Principal/Supervisory Exam

Series 24

Date: 1/4/2016

General Securities Principal Examination

Current Firm

FIVE 9 SECURITIES, LLC

BLP ADVISORS, LLC | FIVE 9 SECURITIES, LLC | BLUELAKE PARTNERS, L.L.C.

CRD#: 114853 / SEC#: , 8-53442

Terminated by SEC on 03/07/2020

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 04/04/2001

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
FIVE 9 HOLDINGS, LLC	SOLE MEMBER
MORGAN, WILLIAM ARTHUR	FINOP	852925
ROGERS, J LEONARD III	CCO/AMLCO/ELECTED MANAGER	2680261

Disclosures

Regulatory Event

Red Flags

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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Advisor Monitoring

Firm Stability Insights

J L. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIVE 9 SECURITIES, LLC

EQUINOX SECURITIES, INC.

EQUINOX SECURITIES, INC.

DINOSAUR FINANCIAL GROUP, L.L.C

FIRST LIBERTIES FINANCIAL

ASCENDIANT SECURITIES, LLC

T.R. WINSTON & COMPANY, LLC

DIAMOND PORTFOLIO ADVISORS, LLC

J.P. MORGAN SECURITIES LLC

WELLS FARGO SECURITIES INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/12/2011

Series 65

Date: 1/16/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/13/2010

Series 31

Date: 12/29/1995

Series 24

Date: 1/4/2016

Current Firm

FIVE 9 SECURITIES, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIVE 9 SECURITIES, LLC

TRUST BUT VERIFY

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