Kimberly A. Rogers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kimberly Ann Rogers, who also goes by Kimberly Rogers, Kimberly Ann Salmons, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 1997. Kimberly had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2022 - January 17, 2024
JANNEY MONTGOMERY SCOTT LLC
October 24, 2017 - February 20, 2019
WELLS FARGO CLEARING SERVICES, LLC
October 24, 2017 - February 20, 2019
WELLS FARGO CLEARING SERVICES, LLC
January 21, 2009 - August 19, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 21, 2009 - August 19, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 28, 2004 - January 24, 2008
CITIGROUP GLOBAL MARKETS INC.
October 20, 2004 - January 24, 2008
CITIGROUP GLOBAL MARKETS INC.
December 31, 2001 - November 15, 2002
CHARLES SCHWAB & CO., INC.
December 8, 2000 - November 15, 2002
CHARLES SCHWAB & CO., INC.
August 9, 2000 - December 13, 2000
WELLS FARGO CLEARING SERVICES, LLC
April 26, 2000 - August 10, 2000
FIRST UNION BROKERAGE SERVICES, INC.
November 18, 1997 - April 19, 2000
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationCurrent Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
