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Sean M Rogers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lake Oswego, OR

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-11-14
CA RA APPROVED 2023-03-28
  • TX RA
    APPROVED
    Since 2023-11-14
  • CA RA
    APPROVED
    Since 2023-03-28

Branch Locations

6000 Meadows Rd, Lake Oswego, OR 97035 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Portland OR 05/2022 Present
Rose City Transportation Portland OR 11/2020 04/2022
Planar Systems Portland OR 03/2020 09/2020
Pacific Office Automation Portland OR 05/2019 12/2019
United Postal Service Portland OR 12/2018 01/2019
United Postal Service Portland OR 12/2017 01/2018
Southern Oregon University Ashland OR 08/2014 04/2019
Bank Of America, N.A. Portland OR 08/2022 Present
  • 05/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Portland, OR
  • 11/2020 → 04/2022
    Rose City Transportation
    Portland, OR
  • 03/2020 → 09/2020
    Planar Systems
    Portland, OR
  • 05/2019 → 12/2019
    Pacific Office Automation
    Portland, OR
  • 12/2018 → 01/2019
    United Postal Service
    Portland, OR
  • 12/2017 → 01/2018
    United Postal Service
    Portland, OR
  • 08/2014 → 04/2019
    Southern Oregon University
    Ashland, OR
  • 08/2022 → Present
    Bank Of America, N.A.
    Portland, OR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-03-27
  • S66 Uniform Combined State Law Examination
    2023-03-27
Other Names
  • Sean Michael Rogers

View on SEC IAPD

Other Firms

PANORAMIC CAPITAL PARTNERS LLC
NORTHMARQ FUND MANAGEMENT, LLC
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
RBC CAPITAL MARKETS, LLC
CWM, LLC
LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
PACIFIC RIDGE CAPITAL PARTNERS, LLC

Other Investors

Grace Buchanan
ANDREW GEORGE ROUNSAVELLE CARTER
LISA M CASELLI
Nicholas Jacob Hubert
Catherine A Groff
MARCUS CHRISTIAN PARKER
JEFFREY DAVID KANTOR
JUSTIN PATRICK LINDSEY

Other Offices

PANORAMIC CAPITAL PARTNERS LLC · LAKE OSWEGO, OR
NORTHMARQ FUND MANAGEMENT, LLC · LAKE OSWEGO, OR
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · LAKE OSWEGO, OR
RBC CAPITAL MARKETS, LLC · Lake Oswego, OR
CWM, LLC · Lake Oswego, OR
LPL FINANCIAL LLC · LAKE OSWEGO, OR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Lake Oswego, OR
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · LAKE OSWEGO, OR

More in Lake Oswego, OR

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