David 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.
David Lee Rogers was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 15 firms and has passed the Series 65, Series 63, Series 15, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2014 - December 31, 2014
WATAUGA EQUITY MANAGEMENT, INC.
June 29, 2004 - September 17, 2004
STANDARD INVESTMENT CHARTERED INCORPORATED
February 9, 2004 - March 15, 2004
THE BENCHMARK COMPANY, LLC
May 8, 2001 - October 4, 2002
CAPITAL INVESTMENT GROUP, INC.
September 17, 1997 - November 23, 1999
MARION BASS SECURITIES CORPORATION
December 10, 1996 - September 18, 1997
STANDARD INVESTMENT CHARTERED INCORPORATED
December 5, 1995 - April 29, 1996
GILFORD SECURITIES INCORPORATED
January 16, 1995 - February 8, 1995
INTERFIRST CAPITAL CORPORATION
December 18, 1992 - May 28, 1993
A. G. EDWARDS & SONS, INC.
June 3, 1991 - December 10, 1992
GROVE POINT INVESTMENTS, LLC
August 1, 1990 - February 22, 1991
RODMAN & RENSHAW INC.
June 15, 1989 - July 25, 1990
DICKINSON & CO.
July 22, 1987 - June 7, 1989
HAMILTON INVESTMENTS, INC.
November 9, 1984 - November 29, 1985
LASALLE ST SECURITIES, L.L.C.
December 20, 1983 - July 16, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 7, 1982 - August 29, 1983
RAUSCHER PIERCE REFSNES, 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 15
Date: 6/27/1985
Foreign Currency Options ExaminationCurrent Firm
WATAUGA EQUITY MANAGEMENT, INC.
CRD#: 171258 / SEC#:
Contact information
Red Flags
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