Roger E. Stromberg
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 Edwin Stromberg 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 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2005 - July 19, 2016
SUMMIT FINANCIAL GROUP INC
November 7, 2005 - July 19, 2016
SUMMIT BROKERAGE SERVICES, INC.
June 15, 2004 - October 28, 2005
MORGAN STANLEY DW INC.
June 14, 2004 - October 28, 2005
MORGAN STANLEY DW INC.
May 13, 2002 - June 16, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 23, 1997 - June 16, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 4, 1995 - July 9, 1997
D.A. DAVIDSON & CO.
July 14, 1986 - May 15, 1995
PIPER SANDLER & CO.
November 26, 1982 - July 18, 1986
DAIN RAUSCHER INCORPORATED
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 8
Date: 10/29/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
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.
