DAVID ROGERS is currently employed as a Broker and/or Investment Adviser at PARK AVENUE SECURITIES LLC located at 5040 ROSWELL ROAD, ATLANTA, GA, 30342.
DAVID ROGERS has worked at PARK AVENUE SECURITIES LLC since January 24, 2018
Disclosure History
DAVID ROGERS has 2 Disclosure Event(s).
Date: January 11, 2017 Category: Employment Separation After Allegations Firm Name: J.P. MORGAN SECURITIES LLC Termination Type: Discharged Allegations: REGISTERED REPRESENTATIVE VIOLATED COMPANY POLICY BY SENDING INTERNAL DOCUMENTS TO HIS PERSONAL EMAIL ACCOUNT.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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