JR
James P. Rogan
FORESIDE GLOBAL SERVICES
New York, NY 10017
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CRD#: 7559719
JR
Professional summary
James P Rogan, who also goes by James Rogan, Jim Rogan, Jimmy Rogan, is a registered financial professional currently at FORESIDE GLOBAL SERVICES, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2022. James has worked at 1 firm and has passed the Series 63, Series 3, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Rogan | Jim Rogan | Jimmy Rogan
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James P Rogan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 19, 2022 - Present
FORESIDE GLOBAL SERVICES, LLC
Office #1: One Vanderbilt Avenue 65th Floor, New York, NY 10017BD
CRD#: 147382
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/31/2022)
RR
Alaska(8/31/2022)
RR
Arizona(8/31/2022)
RR
Arkansas(8/31/2022)
RR
California(8/31/2022)
RR
Colorado(8/31/2022)
RR
Connecticut(8/31/2022)
RR
Delaware(8/31/2022)
RR
District of Columbia(8/31/2022)
RR
Florida(8/31/2022)
RR
Georgia(8/31/2022)
RR
Hawaii(8/31/2022)
RR
Idaho(8/31/2022)
RR
Illinois(8/31/2022)
RR
Indiana(8/31/2022)
RR
Iowa(8/31/2022)
RR
Kansas(8/31/2022)
RR
Kentucky(8/31/2022)
RR
Louisiana(8/31/2022)
RR
Maine(8/31/2022)
RR
Maryland(8/31/2022)
RR
Massachusetts(8/31/2022)
RR
Michigan(8/31/2022)
RR
Minnesota(8/31/2022)
RR
Mississippi(8/31/2022)
RR
Missouri(8/31/2022)
RR
Montana(8/31/2022)
RR
Nebraska(8/31/2022)
RR
Nevada(8/31/2022)
RR
New Hampshire(8/31/2022)
RR
New Jersey(8/10/2022)
RR
New Mexico(8/31/2022)
RR
New York(8/10/2022)
RR
North Carolina(8/31/2022)
RR
North Dakota(8/31/2022)
RR
Ohio(8/31/2022)
RR
Oklahoma(8/31/2022)
RR
Oregon(8/31/2022)
RR
Pennsylvania(8/31/2022)
RR
Puerto Rico(8/31/2022)
RR
Rhode Island(8/31/2022)
RR
South Carolina(8/31/2022)
RR
South Dakota(8/31/2022)
RR
Tennessee(8/31/2022)
RR
Texas(8/31/2022)
RR
Utah(8/31/2022)
RR
Vermont(8/31/2022)
RR
Virgin Islands(8/31/2022)
RR
Virginia(8/31/2022)
RR
Washington(8/31/2022)
RR
West Virginia(8/31/2022)
RR
Wisconsin(8/31/2022)
RR
Wyoming(8/31/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/19/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FG
FORESIDE GLOBAL SERVICES, LLC
FORESIDE GLOBAL SERVICES, LLC | RJB DISTRIBUTORS, LLC | HIGHMARK FUNDS DISTRIBUTORS, LLC | HIGHMARK FUNDS DISTRIBUTORS, INC. | FUND SOURCE US, LLC
CRD#: 147382 / SEC#: , 8-67903
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
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 | VP/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.
