Stacia M. 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.
Stacia Marie Rogers, who also goes by Stacia Marie O'connell, was a registered financial professional .
Stacia is a previously registered financial professional and started their career in finance in 2003. Stacia had worked at 4 firms and has passed the Series 66, SIE 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
May 6, 2014 - May 3, 2016
PINEBRIDGE SECURITIES LLC
June 6, 2011 - May 30, 2012
LAZARD ASSET MANAGEMENT SECURITIES LLC
January 26, 2004 - August 18, 2008
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 14, 2003 - January 26, 2004
WELLS FARGO INVESTMENTS, 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
PINEBRIDGE SECURITIES LLC
CRD#: 5967 / SEC#: , 8-16586
Contact information
FINRA licenses (52 States and Territories)
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.
