Franklin G. Roof
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.
Franklin Garner Roof, who also goes by F. Garner Roof Jr., Franklin Garner Roof Jr, was a registered financial professional .
Franklin is a previously registered financial professional and started their career in finance in 1982. Franklin had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2014 - February 12, 2016
THE LEADERS GROUP, INC.
September 6, 2011 - December 19, 2012
OPPENHEIMER & CO. INC.
September 2, 2011 - December 19, 2012
OPPENHEIMER & CO. INC.
May 4, 2007 - August 1, 2011
PRUCO SECURITIES, LLC.
April 26, 2007 - August 1, 2011
PRUCO SECURITIES, LLC.
April 30, 2004 - December 1, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 30, 2004 - December 1, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 9, 2003 - April 16, 2004
EQUITABLE ADVISORS, LLC
June 9, 2003 - April 16, 2004
EQUITABLE ADVISORS, LLC
June 15, 2002 - March 14, 2003
WELLS FARGO CLEARING SERVICES, LLC
May 31, 2001 - June 15, 2002
WACHOVIA SECURITIES, INC.
February 1, 1995 - January 9, 2001
PRUCO SECURITIES, LLC.
June 17, 1992 - January 27, 1993
NEW ENGLAND SECURITIES
August 17, 1990 - May 15, 1992
THE GREAT-WEST LIFE ASSURANCE COMPANY
November 14, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 14, 1988 - August 31, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 14, 1988 - August 31, 1990
OSAIC FA, INC.
March 18, 1985 - November 30, 1987
MONY SECURITIES CORPORATION
August 2, 1982 - December 13, 1984
GREEN HILL FINANCIAL SERVICE CORPORATION
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
