William 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.
William Adolph Rogers was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 2 firms and has passed the Series 63, Series 15, Series 5, Series 3, PC, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 1995 - November 21, 2000
FOCUSED INVESTMENTS L.L.C.
April 1, 1970 - December 31, 1999
WINTRUST INVESTMENTS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 5/17/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/13/1982
Interest Rate Options ExaminationPC
Date: 9/1/1977
AMEX Put and Call ExamSeries 40
Date: 11/6/1970
Registered Principal ExaminationCurrent Firm
FOCUSED INVESTMENTS L.L.C.
CRD#: 37532 / SEC#: , 8-47799
Contact information
Documents
Red Flags
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