Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rogerio? Claim Your ProfileRogerio Lempert is a securities professional with over 13 years of experience in the financial services industry. Rogerio is currently registered with Stonex Financial Inc. and is licensed to provide investment advice in 10 states. Rogerio previously worked at CANACCORD GENUITY LLC, BULLTICK, LLC, BULLTICK SECURITIES, LLC and BNY CONVERGEX EXECUTION SOLUTIONS LLC. Rogerio holds Series 3, 7, 55, 57TO, 63, 99TO and SIE licenses and is committed to providing clients with the highest level of service.
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.
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.
1
2
FL
11/11/2019 - Present
Stonex Financial Inc. (MIAMI FL)
NY
03/21/2017 - 10/23/2019
CANACCORD GENUITY LLC (NEW YORK NY)
FL
04/07/2011 - 03/15/2017
BULLTICK, LLC (MIAMI FL)
FL
04/07/2011 - 09/19/2014
BULLTICK SECURITIES, LLC (MIAMI FL)
NY
04/10/2009 - 03/24/2011
BNY CONVERGEX EXECUTION SOLUTIONS LLC (NEW YORK NY)
BC
Issued 05/01/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 09/09/2022
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/09/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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