Cory D. Rohren
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.
Cory Douglas Rohren was a registered financial professional .
Cory is a previously registered financial professional and started their career in finance in 2008. Cory had worked at 5 firms and has passed the Series 66, Series 63, SIE 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
March 15, 2013 - January 9, 2018
TD AMERITRADE, INC.
March 15, 2013 - January 9, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 11, 2013 - January 9, 2018
TD AMERITRADE, INC.
May 26, 2011 - March 20, 2012
NYLIFE SECURITIES LLC
May 6, 2010 - October 21, 2010
SECURIAN FINANCIAL SERVICES, INC.
October 7, 2008 - October 31, 2008
THRIVENT INVESTMENT MANAGEMENT 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
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
