Shawn P. 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.
Shawn P Rogers, who also goes by Shawn Rogers, was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2008. Shawn had worked at 5 firms and has passed the Series 63, Series 55 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
September 12, 2012 - February 19, 2013
COVA CAPITAL PARTNERS LLC
April 14, 2011 - November 30, 2011
COWEN PRIME SERVICES LLC
August 31, 2009 - August 19, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
January 8, 2009 - March 12, 2010
MULTITRADE SECURITIES LLC
March 5, 2008 - July 18, 2008
J.P. MORGAN SECURITIES 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
Series 55
Date: 4/28/2009
Limited Representative-Equity Trader ExamCurrent Firm
COVA CAPITAL PARTNERS LLC
CRD#: 109761 / SEC#: , 8-53105
Contact information
FINRA licenses (40 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
