Michael J. Rogers
Professional summary
Michael James Rogers was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Michael had worked at 11 firms, which includes LOCUST STREET SECURITIES INC., CAPBAY FINANCIAL SERVICES, FINANCIAL WEST GROUP, ALAMO CAPITAL, SOUTHERN CALIFORNIA SECURITIES INC., FIRST AFFILIATED SECURITIES, RSR CAPITAL GROUP INC., PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC., MUNICICORP OF CALIFORNIA, LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 1998 - April 4, 2002
LOCUST STREET SECURITIES, INC.
April 24, 1998 - August 6, 1998
CAPBAY FINANCIAL SERVICES
July 30, 1996 - December 31, 1997
FINANCIAL WEST GROUP
January 3, 1996 - August 23, 1996
ALAMO CAPITAL
April 25, 1994 - February 10, 1995
SOUTHERN CALIFORNIA SECURITIES, INC.
June 16, 1993 - March 18, 1994
FIRST AFFILIATED SECURITIES
October 20, 1992 - June 17, 1993
RSR CAPITAL GROUP, INC.
February 4, 1991 - September 2, 1992
PRUDENTIAL EQUITY GROUP, LLC
January 22, 1990 - February 20, 1991
CITIGROUP GLOBAL MARKETS INC.
October 19, 1987 - February 8, 1990
MUNICICORP OF CALIFORNIA
August 18, 1986 - October 27, 1987
LEHMAN BROTHERS INC.
May 22, 1980 - February 8, 1990
MUNICICORP OF CALIFORNIA
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
LOCUST STREET SECURITIES, INC.
CRD#: 1703 / SEC#: , 8-14037
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING ADVISORS NETWORK. INC | SOLE SHAREHOLDER | |
| COKINIS, CHRISTOPHER ALEX | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND SECRETARY | 1527389 |
| FRIEBERG, DAVID EUGENE | VICE PRESIDENT, RECRUITING | 1289486 |
| LARAIA, KEVIN MICHAEL | TREASURER, VICE PRESIDENT FINANCE & OPERATIONS, FIN OP, COO | 2456743 |
| LINDBERG, KARL STEPHEN | PRESIDENT/DIRECTOR | 1001270 |
| SIMMERS, JOHN STEPHEN | CHAIRMAN OF BOARD | 711578 |
| STEPHENS, LYNN ANNETTE | VICE PRESIDENT, BUSINESS DEVELOPMENT | 2169858 |
| STYCH, KEVIN PAUL | VICE PRESIDENT, SALES & MARKETING | 1904094 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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