Paul D. 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.
Paul D Rogers, who also goes by Paul Doral Rogers, Paul Rogers, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2002. Paul had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2024 - October 9, 2025
ROBINHOOD FINANCIAL, LLC
September 27, 2022 - December 7, 2023
VANGUARD MARKETING CORPORATION
January 28, 2022 - May 25, 2022
M1 FINANCE
September 16, 2021 - May 25, 2022
M1 FINANCE LLC
August 22, 2016 - September 9, 2021
DESTRA CAPITAL INVESTMENTS LLC
May 19, 2015 - August 1, 2016
DESTRA CAPITAL INVESTMENTS LLC
April 28, 2008 - June 16, 2014
NORTHERN TRUST SECURITIES, INC.
June 1, 2006 - January 26, 2007
LASALLE FINANCIAL SERVICES, INC.
November 4, 2004 - January 18, 2006
CITICORP INVESTMENT SERVICES
October 22, 2002 - February 3, 2004
WADDELL & REED
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
ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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.
