Keith M. Rogers
Professional summary
Keith Michael Rogers was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Keith is a previously registered financial advisor and started their career in finance in 2006. Prior to being barred, Keith had worked at 3 firms, which includes CONCERT WEALTH MANAGEMENT, WAVERLY ADVISORS LLC, ZERMATT SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2014 - June 23, 2014
CONCERT WEALTH MANAGEMENT
February 28, 2013 - May 21, 2014
WAVERLY ADVISORS, LLC
January 23, 2007 - January 17, 2013
ZERMATT SECURITIES LLC
January 26, 2006 - January 17, 2013
ZERMATT SECURITIES LLC
January 5, 2006 - January 10, 2006
ZERMATT SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
CONCERT WEALTH MANAGEMENT
CRD#: 141253 / SEC#: 801-67992
Contact information
Red Flags
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