DR
David J. Rogers
JEFFERIES LLC
JERSEY CITY, NJ 07302
Some features on this profile are disabled
CRD#: 5193834
DR
Professional summary
David John Rogers, who also goes by David J Rogers, is a registered financial professional currently at JEFFERIES LLC located in Jersey City, New Jersey.
David is registered as a RR (Registered Representative) and started their career in finance in 2012. David has worked at 11 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David J 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.
CRS (Client Relationship Summary) - BD
Click below to view David John Rogers's 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®
NoneExperience
Current
June 15, 2021 - Present
JEFFERIES LLC
Office #1: 101 Hudson St, Jersey City, NJ 07302BD
CRD#: 2347
JERSEY CITY, NJ
Past
November 9, 2018 - May 27, 2020
CFWP SECURITIES, LLC
BD
CRD#: 170228
NEW YORK, NY
Past
November 9, 2018 - April 5, 2021
MINT BROKERS
BD
CRD#: 13681
NEW YORK, NY
Past
November 9, 2018 - April 5, 2021
GFI SECURITIES LLC
BD
CRD#: 19982
NEW YORK, NY
Past
November 9, 2018 - April 5, 2021
FMX EXECUTION, LLC
BD
CRD#: 154075
NEW YORK, NY
Past
November 9, 2018 - April 5, 2021
CF SECURED, LLC
BD
CRD#: 285841
NEW YORK, NY
Past
November 9, 2018 - April 5, 2021
BGC FINANCIAL, L.P.
BD
CRD#: 19801
New York, NY
Past
November 9, 2018 - April 5, 2021
AQUA SECURITIES L.P.
BD
CRD#: 47681
NEW YORK, NY
Past
November 8, 2018 - April 5, 2021
SUNRISE BROKERS LLC
BD
CRD#: 151012
NEW YORK, NY
Past
May 17, 2017 - April 5, 2021
CANTOR FITZGERALD & CO.
BD
CRD#: 134
New York, NY
Past
February 24, 2012 - May 18, 2017
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
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
New Jersey(6/15/2021)
RR
New York(6/15/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JL
JEFFERIES LLC
JEFFERIES & COMPANY, INC. | JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
520 Madison Avenue, New York, NY 10022
Mailing Address
520 Madison Avenue 16th Floor, New York, NY 10022
Phone number
(212) 284-2300
Established
Delaware since 03/01/2013
Firm type
Limited Liability Company
Fiscal year end
November
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
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.
