Benjamin T. 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.
Benjamin Thomas Rogers was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2007. Benjamin had worked at 6 firms and has passed the Series 66 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
August 24, 2011 - December 18, 2012
NOVODYN ADVISORS LLC
April 19, 2011 - August 22, 2011
LOWELL & COMPANY, INC.
April 19, 2011 - August 22, 2011
LOWELL & COMPANY, INC.
August 17, 2010 - September 9, 2011
UNCOMMON FINANCIAL SERVICES, L.C.
July 15, 2009 - December 23, 2010
BROKERSXPRESS LLC
July 15, 2009 - December 23, 2010
BROKERSXPRESS LLC
October 30, 2008 - July 24, 2009
LPL FINANCIAL LLC
October 30, 2008 - July 24, 2009
LPL FINANCIAL LLC
April 11, 2007 - October 31, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 19, 2007 - October 31, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NOVODYN ADVISORS LLC
CRD#: 156451 / SEC#:
Contact information
Red Flags
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