Roger A. Heubach
Professional summary
Roger Andrew Heubach was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roger is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Roger had worked at 1 firm, which includes AMERICAN GENERAL EQUITY SERVICES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 1982 - May 10, 2000
AMERICAN GENERAL EQUITY SERVICES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
AMERICAN GENERAL EQUITY SERVICES CORPORATION
CRD#: 5435 / SEC#: , 8-15847
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN GENERAL LIFE INSURANCE COMPANY | OWNER | |
| BLEWS, LAURENCE EUGENE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR | 1958916 |
| FORTIN, MARY JANE BARTOLOTTA | CHAIRMAN, DIRECTOR | 4648706 |
| GATESMAN, RICHARD JOHN II | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2162534 |
| JENNINGS, KYLE | SECRETARY | |
| OSMONSON, DEANNA DEE | VICE PRESIDENT, ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1961054 |
| REINER, JOHN JAY | TREASURER, CONTROLLER, FINOP | 4052196 |
Disclosures
| Regulatory Event | 5 |
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