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RALPH L ROGERS JR.
RALPH L ROGERS
CRD#: 5222529
IA
B
MORGAN STANLEYCRD#: 149777 Mohegan Lake, NY
0
Disclosures
18
Years of Experience
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State Registrations
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Arizona 8/7/2020
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New Jersey 8/7/2020
B
Arkansas 6/16/2022
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New Mexico 4/29/2022
B
California 8/7/2020
B
New York 8/7/2020
B
Colorado 3/31/2023
IA
New York 6/16/2021
B
Connecticut 8/7/2020
B
North Carolina 10/2/2023
B
Delaware 8/24/2020
B
Ohio 2/6/2025
B
District of Columbia 8/7/2020
B
Pennsylvania 8/7/2020
B
Florida 8/7/2020
B
Rhode Island 11/4/2020
B
Georgia 8/24/2020
B
South Carolina 8/7/2020
B
Illinois 8/7/2020
B
Tennessee 9/14/2020
B
Maine 8/26/2020
B
Texas 8/7/2020
B
Maryland 8/7/2020
IA
Texas 8/7/2020
B
Massachusetts 8/24/2020
B
Vermont 11/12/2020
B
Michigan 9/2/2020
B
Virginia 8/7/2020
B
Nevada 8/7/2020
B
Wyoming 8/7/2020
B
New Hampshire 8/7/2020
SRO Registrations
B
B
B
B
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/03/2020 - 08/11/2020 | PURCHASE, NY | |
B | 01/01/2008 - 08/11/2020 | PURCHASE, NY | |
IA | 06/12/2015 - 12/31/2018 | PURCHASE, NY | |
B | 11/10/2006 - 01/03/2008 | WHITE PLAINS, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.