J Rogers is a registered investment advisor, based in Ladera Ranch, CA, with 27 years of industry experience.
Location
Ladera Ranch, CA
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Regulatory History (3)
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Customer Dispute
June 2002Pending
Employment Separation After Allegations
February 2001Customer Dispute
January 2001Award / Judgment
Other Business Activities
J. is the President of Alpha Strategies Investment Consulting Inc., dedicating full-time hours to this role. J. is also the COB of WM Development, a hospitality services company, spending about 10-20% of their time, and a Managing Partner at Waterfall Funding Group, dedicating a few hours per week.
Employment History
Previous Registrations
Five 9 Securities, LLCBroker
August 2018 - January 2020 · 1 yr 5 mos
Five 9 Securities, LLCBroker
December 2015 - December 2016 · 1 yr
Equinox Securities, INC.
October 2014 - December 2015 · 1 yr 2 mos
Equinox Securities, INC.Broker
October 2014 - December 2015 · 1 yr 2 mos
Dinosaur Securities, L.L.C.Broker
May 2013 - September 2014 · 1 yr 4 mos
First Liberties FinancialBroker
December 2012 - April 2013 · 4 mos
Ascendiant Securities, LLCBroker
August 2011 - August 2012 · 1 yr
T.R. Winston & Company, LLCBroker
October 2010 - July 2011 · 9 mos
Diamond Portfolio Advisors, LLC
January 2004 - November 2009 · 5 yrs 10 mos
Bear, Stearns & CO. INC.Broker
March 2001 - July 2001 · 4 mos
Wells Fargo Securities INC.Broker
March 1998 - March 2001 · 3 yrs
Dean Witter Reynolds INC.Broker
December 1995 - January 1998 · 2 yrs 1 mo
State Registrations1 state
CA
Advisor
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Exams
No exam information available for this advisor.