Gwendolyn L. 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.
Gwendolyn Lee Rogers, who also goes by Gwen Ray, Gwendolyn L Ray, Gwendolyn Lee Ray, Gwen Rogers, was a registered financial professional .
Gwendolyn is a previously registered financial professional and started their career in finance in 1980. Gwendolyn had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2010 - September 22, 2017
WFG ADVISORS, LP
January 22, 2010 - November 29, 2017
WFG INVESTMENTS, INC.
October 24, 2001 - March 9, 2010
1ST GLOBAL ADVISORS INC
October 24, 2001 - January 20, 2010
1ST GLOBAL CAPITAL CORP.
July 6, 1999 - October 22, 2001
J.P. SECURITIES, INC.
November 12, 1997 - September 14, 1998
INVEST FINANCIAL CORPORATION
July 31, 1997 - October 23, 1997
KAISER AND COMPANY
August 19, 1996 - November 20, 1996
WELLS FARGO SECURITIES INC.
December 15, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
October 12, 1993 - December 22, 1993
FSB PREMIER WEALTH MANAGEMENT, INC.
November 6, 1991 - September 7, 1993
FIRST AFFILIATED SECURITIES
August 17, 1987 - October 23, 1991
CITIGROUP GLOBAL MARKETS INC.
September 25, 1980 - August 6, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
WFG ADVISORS, LP
CRD#: 125073 / SEC#: 801-61945
Contact information
Documents
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