Reginald 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.
Reginald Carr Rogers JR, who also goes by Rick Rogers, Reginald Carr Tucker, was a registered financial advisor .
Reginald is a previously registered financial advisor and started their career in finance in 1981. Reginald had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 7, Series 53 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 31, 2001 - April 10, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - April 10, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 26, 1995 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
January 19, 1993 - August 10, 1995
HOWARD WEIL INCORPORATED
August 21, 1992 - August 10, 1995
LEGG MASON WOOD WALKER, INCORPORATED
April 25, 1989 - June 29, 1992
UBS FINANCIAL SERVICES INC.
February 15, 1988 - May 20, 1989
LEHMAN BROTHERS INC.
March 21, 1981 - February 15, 1988
E. F. HUTTON & COMPANY 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 5
Date: 2/24/1982
Interest Rate Options ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR, CHAIRMAN OF THE BOARD, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
| ZOLPER, ANDREW CANNING | DIRECTOR | 5304616 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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