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TR

Terry L. Rogers

Some features on this profile are disabled
CRD#: 402926
TR

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.

Terry Lee Rogers was a registered financial professional .

Terry is a previously registered financial professional and started their career in finance in 1974. Terry had worked at 9 firms and has passed the Series 63, Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

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

February 28, 1986 - July 17, 1987

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
Past

February 6, 1985 - January 14, 1986

FITZGERALD, DEARMAN & ROBERTS, INC.

BD
CRD#: 317
Past

June 7, 1984 - January 31, 1985

ROONEY, PACE INC.

BD
CRD#: 6218
Past

October 26, 1983 - June 13, 1984

ADAMS, JAMES, ABARR & COMPANY, INC.

BD
CRD#: 7517
Past

March 5, 1982 - October 18, 1983

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
Past

August 27, 1979 - March 8, 1982

ROTAN MOSLE INC.

BD
CRD#: 727
Past

May 26, 1977 - November 15, 1979

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

February 13, 1976 - June 5, 1977

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
Past

September 12, 1975 - May 16, 1976

FITZGERALD, DEARMAN & ROBERTS, INC.

BD
CRD#: 317
Past

November 22, 1974 - December 29, 1975

DEARMAN WILLIAMS INC

BD
CRD#: 1000002
Past

April 5, 1974 - December 22, 1974

ROYAL W. CARSON & CO. INC.

BD
CRD#: 1411

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/28/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/10/1976
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 4/1/1974
Registered Representative Examination

Current Firm

PF
PRINCIPAL FINANCIAL SECURITIES,INC.
EPPLER, GUERIN & TURNER, INC. | THE PRINCIPAL/EPPLER, GUERIN & TURNER, INC. | PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260 / SEC#: , 8-30519

BD
Terminated by SEC on 08/04/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/06/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

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