Roger E. Egenes
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 Ernest Egenes was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1982. Roger had worked at 6 firms and has passed the Series 63, SIE, Series 15, Series 3, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 1993 - July 25, 2017
LIBERTY CAPITAL INVESTMENT CORPORATION
February 10, 1993 - March 4, 1993
LIBERTY CAPITAL INVESTMENT CORPORATION
June 25, 1991 - February 10, 1993
MARKETING ONE SECURITIES, INC.
April 3, 1989 - June 26, 1991
THE ADVISORS GROUP, INC.
June 3, 1986 - March 30, 1989
A. G. EDWARDS & SONS, INC.
February 27, 1984 - June 16, 1986
LEHMAN BROTHERS INC.
March 30, 1982 - February 24, 1984
FOSTER & MARSHALL 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
Series 15
Date: 1/20/1984
Foreign Currency Options ExaminationSeries 28
Date: 7/30/1993
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
LIBERTY CAPITAL INVESTMENT CORPORATION
CRD#: 25706 / SEC#: , 8-42051
Contact information
FINRA licenses (11 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PURPURA, GARY FRANK | PRESIDENT/CEO/CCO/CFO | 368952 |
| REEL, ANTHONY ALLEN | SHAREHOLDER / REGISTERED REPRESENTATIVE | 4388993 |
| REEL, STEFANIE ANN | SECRETARY/TREASURER/MANAGER | 4410781 |
| BRUNDAGE, ROGER ALWYN | SHAREHOLDER / REGISTERED REPRESENTATIVE | 33605 |
| WALKER, ROBERT ALLEN | SHAREHOLDER / REGISTERED REPRESENTATIVE | 1501658 |
Regulatory assets under management
| Total Number of Accounts | 190 |
| AUM (Assets Under Management) | $ 78,074,006 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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