Brian J. 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.
Brian James Rogers was a registered financial advisor .
Brian is a previously registered financial advisor and started their career in finance in 1970. Brian had worked at 14 firms and has passed the Series 65, Series 63, Series 5, PC, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2009 - April 23, 2010
CAPITOL SECURITIES MANAGEMENT, INC.
September 22, 2009 - April 23, 2010
CAPITOL SECURITIES MANAGEMENT, INC.
April 10, 2007 - December 4, 2008
CAPITOL SECURITIES MANAGEMENT, INC.
April 9, 2007 - December 4, 2008
CAPITOL SECURITIES MANAGEMENT, INC.
September 18, 2006 - April 12, 2007
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 25, 2006 - August 8, 2006
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 25, 2006 - April 12, 2007
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 29, 2004 - July 26, 2006
NATIONAL PLANNING CORPORATION
December 3, 2003 - July 26, 2006
NATIONAL PLANNING CORPORATION
June 19, 2002 - November 11, 2003
MORGAN STANLEY DW INC.
August 17, 1994 - November 11, 2003
MORGAN STANLEY DW INC.
January 17, 1991 - August 23, 1994
PRUDENTIAL EQUITY GROUP, LLC
December 22, 1989 - December 15, 1990
LCP CAPITAL CORP.
March 22, 1989 - November 8, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 1985 - November 8, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 1984 - November 27, 1985
UBS FINANCIAL SERVICES INC.
November 26, 1979 - October 1, 1984
LEHMAN BROTHERS INC.
January 18, 1978 - November 26, 1979
LOEB PARTNERS
November 2, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
November 14, 1975 - October 10, 1977
ADVEST, INC.
November 8, 1974 - February 5, 1976
SHEARSON HAYDEN STONE INC.
June 18, 1970 - November 8, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 9/1/1977
AMEX Put and Call ExamSeries 1
Date: 6/15/1970
Registered Representative ExaminationSeries 8
Date: 10/1/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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.
