Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Rogers is an active Registered Representative and Investment Advisor Representative. Christopher has been in the industry since January 2, 1984, and is currently registered with Raymond James & Associates, Inc. Christopher has held previous registrations with Morgan Stanley, Citigroup Global Markets Inc., and Lehman Brothers Inc. Christopher holds Series 7, 9, 10, 63 and 66 licenses. Christopher holds 2 state exam categories, 2 principal exam categories and 2 product exam categories.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
ME
06/08/2021 - Present
Raymond James & Associates, Inc. (PORTLAND ME)
ME
06/01/2009 - 07/11/2013
MORGAN STANLEY (PORTLAND ME)
ME
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PORTLAND ME)
NY
01/03/1984 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 12/16/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/03/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/30/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/16/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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