Pierre 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.
Pierre Jacques Rogers, who also goes by Pierre J Rogers, Pierre Jaques Rogers, Pierre Rogers, was a registered financial professional .
Pierre is a previously registered financial professional and started their career in finance in 2002. Pierre had worked at 11 firms and has passed the Series 66, 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
November 16, 2016 - August 18, 2017
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
October 19, 2016 - August 18, 2017
AMUNDI DISTRIBUTOR US, INC.
January 29, 2016 - October 14, 2016
PATRICK CAPITAL MARKETS, LLC
February 13, 2009 - July 27, 2015
PGIM INVESTMENTS LLC
February 4, 2009 - July 27, 2015
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 25, 2005 - December 8, 2008
BOFA ADVISORS, LLC
March 31, 2004 - April 22, 2005
COLUMBIA MANAGEMENT ADVISORS, INC.
March 23, 2004 - December 8, 2008
BOFA DISTRIBUTORS, INC.
April 30, 2003 - August 5, 2003
MORGAN STANLEY DW INC.
March 6, 2002 - April 25, 2002
IDS LIFE INSURANCE COMPANY
March 6, 2002 - April 25, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
CRD#: 138756 / SEC#: 801-66395
Contact information
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.
