Roger G. Pimm
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.
Roger Gene Pimm was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1982. Roger had worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2008 - November 30, 2018
CADARET, GRANT & CO., INC.
July 29, 2003 - March 20, 2008
WALL STREET FINANCIAL GROUP, INC.
January 8, 2002 - January 15, 2003
FFP SECURITIES, INC.
November 11, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
November 11, 1988 - May 7, 1999
MONY SECURITIES CORPORATION
April 19, 1983 - October 13, 1988
ADVANTAGE CAPITAL CORPORATION
March 12, 1982 - May 12, 1983
MUTUAL FUNDS ASSOCIATES 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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
