J Leonard Rogers

Current Employers

Alpha Strategies Investment Consulting

Ladera Ranch, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2010-03-16

CA RA
APPROVED

Since 2010-03-16

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Alpha Strategies Investment Consulting	Ladera Ranch	CA	08/2009	Present
Five 9 Securities, Llc	New York	NY	12/2015	12/2016
Five 9 Securities, Llc	Santa Monica	CA	08/2018	Present

08/2009 → Present

Alpha Strategies Investment Consulting

Ladera Ranch, CA
12/2015 → 12/2016

Five 9 Securities, Llc

New York, NY
08/2018 → Present

Five 9 Securities, Llc

Santa Monica, CA

Previous Registrations

2014-10-07 → 2015-12-16

Equinox Securities, Inc.

Irvine, CA

Irvine, CA

Redlands, CA
2004-01-30 → 2009-11-23

Diamond Portfolio Advisors, Llc

Los Angeles, CA

Other Businesses

ALPHA STRATEGIES INVESTMENT CONSULTING INC. 10 David Street Ladera Ranch, CA 92694 PRESIDENT/INVESTMENT CONSULTING EFFECTIVE: 03/2009 240 HOURS PER MONTH/8 HOURS PER MONTH DURING MARKET HOURS WM DEVELOPMENT 1809 Capetown Circle Costa Mesa, CA 92627 COB/Hospitality Services EFFECTIVE: June, 2016 20 HOURS PER MONTH/5 HOURS PER MONTH DURING MARKET HOURS WATERFALL FUNDING GROUP 1 Sugar Creek Center Blvd., Suite 1075 Sugar Land, TX 77478 MANAGING PARTNER / LEGAL FUNDING EFFECTIVE: May 2015 2 HOURS PER WEEK/ 8 HOURS PER MONTH

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2011-01-12
S65	Uniform Investment Adviser Law Examination	1996-01-16

S63 Uniform Securities Agent State Law Examination

2011-01-12
S65 Uniform Investment Adviser Law Examination

1996-01-16

Other Names

Jay L Rogers
Jay Leonard Rogers

View on SEC IAPD