Lawrence J. 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.
Lawrence John Rogers was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 2007. Lawrence had worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2023 - December 31, 2024
SP SECURITIES LLC
July 16, 2021 - December 31, 2021
SP SECURITIES LLC
June 30, 2017 - August 5, 2019
DCF, LLC
September 9, 2016 - April 28, 2017
DCF, LLC
March 10, 2015 - August 26, 2015
BENJAMIN & JEROLD BROKERAGE I, LLC
October 11, 2007 - July 17, 2013
CORPORATE FINANCE SECURITIES, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SP SECURITIES LLC
CRD#: 130560 / SEC#: , 8-66360
Contact information
FINRA licenses (15 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAGE PARTNERS LTD. | SOLE MEMBER | |
| BINET, TODD M. | MANAGER, REGISTERED PRINCIPAL | |
| MILLER, DAVID SUTTON | MANAGER, REGISTERED PRINCIPAL | 2097046 |
| MORIN, PETER B. | MANAGER, REGISTERED PRINCIPAL | |
| WALTON, H. STEVEN | MANAGER, REGISTERED PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | MANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | DESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER | 1430161 |
Disclosures
| Regulatory Event | 1 |
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.
