Eric Rogers
Professional summary
Eric Rogers was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eric is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Eric had worked at 10 firms, which includes AGILE PT GROUP LLC, DIMENSION TRADING GROUP LLC, G-2 TRADINGLLC, FIS BROKERAGE & SECURITIES SERVICES LLC, LEGEND TRADING LLC, ECHOTRADE LLC, SPECTRUM TRADING LLC, SANDERS MORRIS LLC, HORNBLOWER FISCHER & CO., THINKEQUITY LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2011 - March 13, 2012
AGILE PT GROUP LLC
April 20, 2011 - May 31, 2011
DIMENSION TRADING GROUP, LLC
October 21, 2010 - December 8, 2010
G-2 TRADING,LLC
March 5, 2010 - April 5, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
January 4, 2010 - April 5, 2010
LEGEND TRADING, LLC
October 16, 2009 - November 5, 2009
ECHOTRADE LLC
July 10, 2008 - August 28, 2009
G-2 TRADING,LLC
March 1, 2007 - January 2, 2008
SPECTRUM TRADING, LLC
July 5, 2005 - August 23, 2006
SANDERS MORRIS LLC
January 13, 2004 - November 1, 2004
HORNBLOWER FISCHER & CO.
June 4, 2002 - July 16, 2002
THINKEQUITY LLC
State Registrations and Notice Filings
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Exams
Series 55
Date: 8/26/2005
Limited Representative-Equity Trader ExamCurrent Firm
AGILE PT GROUP LLC
CRD#: 155177 / SEC#: , 8-68702
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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