Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Suzanne? Claim Your ProfileSuzanne Rogers is a financial advisor with over 25 years of experience in the industry. Suzanne is currently registered with Fidelity Brokerage Services LLC in Salt Lake City, UT. Suzanne holds FINRA Series 6, 7, 63, and 65 licenses as well as the SIE. Suzanne has previously held registrations with Fidelity Investments Institutional Services Company, Inc., John Hancock Distributors LLC, Scudder Distributors, Inc., Pilgrim Securities, Inc., Nicholas-Applegate Securities (A California Limited Partnership), Western Capital Financial Group, and Allmerica Investments, Inc. Suzanne has worked in the financial industry since 1994 and has been registered as a broker-dealer since 1994. Suzanne is a registered representative with Fidelity Brokerage Services LLC.
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.
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2
UT
01/01/2008 - Present
Fidelity Brokerage Services LLC (SALT LAKE CITY UT)
UT
10/25/2007 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SALT LAKE CITY UT)
MA
04/21/2005 - 09/20/2007
JOHN HANCOCK DISTRIBUTORS LLC (BOSTON MA)
IL
06/30/1999 - 03/31/2005
SCUDDER DISTRIBUTORS, INC. (CHICAGO IL)
CT
03/23/1999 - 04/07/1999
PILGRIM SECURITIES, INC. (WINDSOR CT)
CA
11/01/1996 - 01/29/1999
NICHOLAS-APPLEGATE SECURITIES (A CALIFORNIA LIMITED PARTNERSHIP) (SAN DIEGO CA)
NY
07/17/1995 - 11/13/1996
WESTERN CAPITAL FINANCIAL GROUP (NEW YORK NY)
MA
04/14/1994 - 06/08/1995
ALLMERICA INVESTMENTS, INC. (WORCESTER MA)
IA
Issued 10/19/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/13/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2017
Series 7 - General Securities Representative Examination
BC
Issued 04/13/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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