Individual Firm
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Rosaline Rogers Banks
ROSALINE R BANKS, ROSALINE ROGERS BANKS, ROSALINE LECHELLE ROGERS, Rosaline Lechelle Rogers, Rosaline Lechelle Rogers-Banks
CRD#: 5891366
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 Millington, TN
0
Disclosures
13
Years of Experience
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State Registrations
B
Mississippi 3/9/2023
IA
Tennessee 3/10/2023
B
Tennessee 3/9/2023
SRO Registrations
B
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IA
B
Registered with this firm since 3/9/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/04/2017 - 02/15/2023 | MILLINGTON, TN | |
B | 08/02/2017 - 02/15/2023 | GREENWOOD VILLAGE, CO | |
IA | 04/24/2015 - 06/19/2017 | COLLIERVILLE, TN | |
B | 04/24/2015 - 06/19/2017 | COLLIERVILLE, TN | |
IA | 12/17/2013 - 04/09/2015 | MEMPHIS, TN | |
B | 12/13/2013 - 04/09/2015 | MEMPHIS, TN | |
IA | 09/06/2012 - 11/21/2013 | BRENTWOOD, TN | |
B | 09/06/2012 - 11/21/2013 | BRENTWOOD, TN | |
IA | 04/15/2011 - 09/05/2012 | GERMANTOWN, TN | |
B | 03/25/2011 - 09/05/2012 | GERMANTOWN, TN |
COLLIERVILLE, TN
04/24/2015 - 06/19/2017
COLLIERVILLE, TN
04/24/2015 - 06/19/2017
GERMANTOWN, TN
04/15/2011 - 09/05/2012
GERMANTOWN, TN
03/25/2011 - 09/05/2012
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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.