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Detailed Report
PETER N ROGERS
PETER NORMAN ROGERS
CRD#: 4460011
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 2888 LOKER AVE EAST
SUITE 219
CARLSBAD, CA 92010
Registration History
2002200420062008201020122014201620182020202220242026IAPARK AVENUE SECURITIES LLC (CRD# 46173)2005 - Present (19 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)2004 - Present (21 years)BAMERICAN GENERAL SECURITIES IN... (CRD# 13626)2001 - 2004 (2 years)
Disclosure(s)
View By:
3/19/2009
Customer Dispute
Denied
10/24/2007
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 3/2/2021
IA
New Hampshire 10/10/2018
IA
Alabama 3/2/2021
B
New Jersey 4/3/2012
B
Arizona 4/13/2005
IA
New Jersey 4/3/2012
IA
Arizona 5/30/2007
B
New Mexico 7/16/2019
B
California 3/30/2004
IA
New Mexico 7/17/2019
IA
California 5/4/2005
B
New York 7/17/2012
B
Colorado 4/28/2015
IA
New York 4/16/2021
IA
Colorado 4/30/2015
B
North Carolina 7/16/2019
B
Connecticut 10/13/2021
IA
North Carolina 7/25/2019
IA
Connecticut 10/13/2021
B
Ohio 3/30/2017
B
Florida 9/16/2015
IA
Ohio 3/30/2017
IA
Florida 9/18/2015
B
Oregon 5/22/2018
B
Georgia 12/4/2020
IA
Oregon 5/24/2018
IA
Georgia 12/7/2020
B
Pennsylvania 3/6/2015
B
Hawaii 9/17/2020
IA
Pennsylvania 3/9/2015
IA
Hawaii 10/26/2020
B
South Carolina 4/2/2015
B
Idaho 6/21/2019
IA
South Carolina 4/3/2015
IA
Idaho 6/24/2019
B
South Dakota 4/26/2024
B
Indiana 4/2/2021
IA
South Dakota 4/29/2024
IA
Indiana 4/5/2021
B
Tennessee 10/2/2020
B
Iowa 11/13/2007
B
Texas 2/7/2013
B
Massachusetts 2/22/2021
IA
Texas 2/8/2013
IA
Massachusetts 3/2/2021
B
Utah 5/27/2014
B
Michigan 1/4/2012
IA
Utah 5/27/2014
IA
Michigan 1/5/2012
B
Vermont 7/20/2018
B
Missouri 9/21/2011
IA
Vermont 8/6/2018
IA
Missouri 9/21/2011
B
Virginia 4/13/2009
B
Montana 5/27/2014
IA
Virginia 4/14/2009
IA
Montana 5/27/2014
B
Washington 6/23/2005
B
Nebraska 3/30/2017
IA
Washington 3/9/2007
IA
Nebraska 4/5/2017
B
Wisconsin 8/18/2017
B
Nevada 9/10/2013
IA
Wisconsin 8/21/2017
IA
Nevada 11/15/2017
B
Wyoming 9/30/2014
B
New Hampshire 10/5/2018

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PARK AVENUE SECURITIES LLC (CRD#:46173)
2888 LOKER AVE EAST SUITE 219, CARLSBAD, CA 92010
Registered with this firm since 5/4/2005
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
2888 LOKER AVE EAST SUITE 219, CARLSBAD, CA 92010
Registered with this firm since 3/30/2004
Previous Registration(s)
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B
 11/06/2001 - 03/18/2004 AMERICAN GENERAL SECURITIES INCORPORATED (CRD#:13626) PHOENIX, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.