Mark C. 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.
Mark Christopher Rogers, who also goes by Mark Christophe Rogers, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1980. Mark had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1 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
August 31, 2020 - June 10, 2022
FORESIDE FINANCIAL SERVICES, LLC
April 5, 2017 - August 31, 2018
ERG SECURITIES (US) LLC
March 28, 2007 - March 30, 2015
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
May 13, 1994 - December 19, 2006
MFS FUND DISTRIBUTORS, INC.
November 25, 1987 - December 31, 1994
MFS FINANCIAL SERVICES, INC.
January 9, 1987 - October 1, 1987
VERAVEST INVESTMENTS, INC.
January 10, 1980 - January 19, 1987
SIGNATOR INVESTORS, INC.
January 10, 1980 - January 29, 1987
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
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 1
Date: 1/10/1980
Registered Representative ExaminationCurrent Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
