David S. Rogers
Professional summary
David S Rogers, who also goes by David Shawn Rogers, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.
David is registered as a RR (Registered Representative) and started their career in finance in 1998. David has worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David S Rogers's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 7, 2025 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101August 15, 2017 - August 20, 2018
KINGSBURY CAPITAL, INC.
January 18, 2013 - August 19, 2015
ROTH CAPITAL PARTNERS, LLC
January 17, 2013 - August 19, 2015
ROTH CAPITAL PARTNERS, LLC
June 11, 2009 - November 20, 2012
ADVANCED EQUITIES, INC.
April 17, 2006 - November 20, 2012
ADVANCED EQUITIES, INC.
March 8, 2006 - March 3, 2009
FIRST ALLIED SECURITIES, INC.
April 2, 2003 - March 2, 2006
CITICORP INVESTMENT SERVICES
April 2, 2003 - March 2, 2006
CITICORP INVESTMENT SERVICES
April 6, 2001 - May 23, 2002
NATIONAL SECURITIES CORPORATION
July 24, 1998 - June 14, 2001
MADISON SECURITIES, 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
(1/8/2025)
(1/16/2025)
(1/23/2025)
(1/17/2025)
(1/16/2025)
(1/21/2025)
(1/21/2025)
(1/16/2025)
(1/16/2025)
(1/22/2025)
(2/2/2025)
(1/17/2025)
(1/16/2025)
(1/16/2025)
Exams
Series 7TO
Date: 1/6/2025
General Securities Representative ExaminationFINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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Company Information
FORESIDE FUND SERVICES, LLC
CRD#: 46106Portland, ME 04101TRUST BUT VERIFY
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