Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wayne? Claim Your ProfileWayne George Rogers is a financial advisor with City National Securities, Inc. located in Los Angeles, CA. Wayne Rogers has been in the securities industry since December 25, 2003, and holds FINRA Series 63, 65, 7 and SIE licenses. Wayne Rogers has previously worked for TD PRIVATE CLIENT WEALTH LLC, HSBC SECURITIES (USA) INC., J.P. MORGAN SECURITIES INC., CHASE INVESTMENT SERVICES CORP., FIRST REPUBLIC SECURITIES COMPANY, LLC and BNY INVESTMENT CENTER INC..
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.
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.
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.
A percentage of the total value of assets under management is charged.
Mutual fund fees, broker fees & transaction fees
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2
CA
09/12/2018 - Present
City National Securities, Inc. (LOS ANGELES CA)
NY
02/28/2013 - 02/08/2017
TD PRIVATE CLIENT WEALTH LLC (MELVILLE NY)
NY
11/14/2008 - 12/12/2012
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
11/16/2006 - 09/25/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
07/13/2005 - 11/17/2006
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
CA
05/23/2003 - 01/04/2005
FIRST REPUBLIC SECURITIES COMPANY, LLC (SAN FRANCISCO CA)
NY
06/13/2001 - 04/21/2003
BNY INVESTMENT CENTER INC. (NEW YORK NY)
IA
Issued 07/29/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/06/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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