Chad Rogers Terminated by IFP Securities
Chad Rogers (CRD #: 4029698) has been terminated by IFP Securities. This disclosure appears on his BrokerCheck record, accessed on November 14, 2023. Details are provided below.
On September 15, 2023, IFS Securities fired Chad Rogers following allegations that a third party notified the firm that the broker had impersonated clients with personal information via phone call.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Impersonating clients violates this rule.
On September 14, 2017, the Oklahoma Department of Securities alleged that Chad Rogers failed to report several required disclosures in a timely manner. He consented to a $1,000 fine.
On September 28, 2015, Chad Rogers became the subject of a tax lien for $400,000.
Chad Rogers has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
He has registered with the following firms:
- IFP Securities (CRD #: 297287)
- The O.N. Equity Sales Company (CRD #: 2936)
- Northwestern Mutual Investment Services (CRD #: 2881)
Kurta Law Can Help
If you worked with Chad Rogers and have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.