Alan J. Roget
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan Jay Roget was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1982. Alan had worked at 5 firms and has passed the Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 1991 - March 12, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 7, 1989 - December 31, 1990
TITAN/VALUE EQUITIES GROUP, INC.
May 26, 1987 - November 7, 1989
VALUE EQUITIES CORPORATION
June 6, 1983 - December 4, 1985
FORESTERS FINANCIAL SERVICES, INC.
May 5, 1982 - March 31, 1987
SWINK & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
CRD#: 5774 / SEC#: , 8-16458
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
