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GR

Gina M. Rogers

FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
Some features on this profile are disabled
CRD#: 4764097
GR

Professional summary

Gina M Rogers, who also goes by Gina Rogers Corley, Gina Maria Rogers-thomas, Gina M Rogers, Gina Maria Rogers, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.

Gina is registered as a RR (Registered Representative) and started their career in finance in 2004. Gina has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gina Rogers Corley | Gina Maria Rogers-Thomas | Gina M Rogers | Gina Maria Rogers

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gina M Rogers's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 1, 2025 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 900 Salem Street, Smithfield, RI 02917
BD
CRD#: 7784
Smithfield, RI
Past

December 7, 2023 - January 28, 2025

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
Robbinsville, NJ
Past

December 6, 2023 - January 28, 2025

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
MINNEAPOLIS, MN
Past

September 6, 2022 - August 1, 2023

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
ROBBINSVILLE, NJ
Past

September 6, 2022 - August 1, 2023

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
MONUMENT, CO
Past

July 18, 2017 - September 29, 2022

MORGAN STANLEY

RIA
CRD#: 149777
Lawrenceville, NJ
Past

July 18, 2017 - September 29, 2022

MORGAN STANLEY

BD
CRD#: 149777
Lawrenceville, NJ
Past

January 21, 2013 - June 16, 2017

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEW YORK, NY
Past

January 2, 2013 - June 16, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NEW YORK, NY
Past

January 16, 2009 - May 13, 2011

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
PRINCETON, NJ
Past

January 16, 2009 - May 13, 2011

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
PRINCETON, NJ
Past

October 20, 2004 - January 22, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PRINCETON, NJ
Past

September 24, 2004 - January 22, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PRINCETON, NJ
Past

April 22, 2004 - May 12, 2004

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 22, 2004 - May 12, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/1/2025)
RR
Alaska
(5/1/2025)
RR
Arizona
(5/1/2025)
RR
Arkansas
(5/1/2025)
RR
California
(5/1/2025)
RR
Colorado
(5/1/2025)
RR
Connecticut
(5/1/2025)
RR
Delaware
(5/1/2025)
RR
District of Columbia
(5/1/2025)
RR
Florida
(5/1/2025)
RR
Georgia
(5/1/2025)
RR
Hawaii
(5/1/2025)
RR
Idaho
(5/1/2025)
RR
Illinois
(5/1/2025)
RR
Indiana
(5/1/2025)
RR
Iowa
(5/1/2025)
RR
Kansas
(5/1/2025)
RR
Kentucky
(5/1/2025)
RR
Louisiana
(5/1/2025)
RR
Maine
(5/1/2025)
RR
Maryland
(5/1/2025)
RR
Massachusetts
(5/1/2025)
RR
Michigan
(5/1/2025)
RR
Minnesota
(5/1/2025)
RR
Mississippi
(5/1/2025)
RR
Missouri
(5/1/2025)
RR
Montana
(5/1/2025)
RR
Nebraska
(5/1/2025)
RR
Nevada
(5/1/2025)
RR
New Hampshire
(5/1/2025)
RR
New Jersey
(4/1/2025)
RR
New Mexico
(5/1/2025)
RR
New York
(5/1/2025)
RR
North Carolina
(5/1/2025)
RR
North Dakota
(5/1/2025)
RR
Ohio
(5/2/2025)
RR
Oklahoma
(5/1/2025)
RR
Oregon
(5/1/2025)
RR
Pennsylvania
(5/1/2025)
RR
Puerto Rico
(5/1/2025)
RR
Rhode Island
(5/1/2025)
RR
South Carolina
(5/1/2025)
RR
South Dakota
(5/1/2025)
RR
Tennessee
(5/1/2025)
RR
Texas
(5/1/2025)
RR
Utah
(5/1/2025)
RR
Vermont
(5/1/2025)
RR
Virgin Islands
(5/1/2025)
RR
Virginia
(5/1/2025)
RR
Washington
(5/1/2025)
RR
West Virginia
(5/1/2025)
RR
Wisconsin
(5/1/2025)
RR
Wyoming
(5/1/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/19/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.

CRD#: 7784 / SEC#: , 8-23292

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER
BRANDNER, CLINT RYANCHIEF OPERATIONS OFFICER7209362
CENATIEMPO, PHILIP JHEAD OF STRATEGY, PLANNING & ADVICE4809405
DYER, JANET MARIECO - CHIEF COMPLIANCE OFFICER3186352
MASCIALINO, ROBERT RAYMONDPRESIDENT/CEO/DIRECTOR2078086
MCLAUGHLIN, KEVIN MICHAELCHIEF FINANCIAL OFFICER5392417
MERKEN, GAIL RACHELCHIEF COMPLIANCE OFFICER5546717
PETERSON, PAUL DAVIDHEAD OF INVESTMENT ADVISOR GROUP2387115
STURDY, CHARLES HANCOCKSECRETARY AND GENERAL COUNSEL

Disclosures

Regulatory Event23
Arbitration126

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.

Company Information

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784Smithfield, RI 02917

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