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ER

Eugene F. Roesser

WASHINGTON SECURITIES
Chevy Chase, MD 20815-6113
Some features on this profile are disabled
CRD#: 1074726
ER

Professional summary


Eugene Francis Roesser JR, who also goes by Eugene Francis (jr) Roesser, Gene Roesser, is a registered financial advisor currently at WASHINGTON SECURITIES CORPORATION located in Chevy Chase, Maryland.

Eugene is registered as a RR (Registered Representative) and started their career in finance in 1982. Eugene has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Eugene Francis (jr) Roesser | Gene Roesser

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Eugene Francis Roesser JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

January 10, 2008 - Present

WASHINGTON SECURITIES CORPORATION

Office #1: 6935 Wisconsin Ave No. 510, Chevy Chase, MD 20815-6113
RIA
BD
CRD#: 46213
Chevy Chase, MD
Past

November 20, 1998 - May 22, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WASHINGTON, DC
Past

September 23, 1997 - May 22, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WASHINGTON, DC
Past

September 5, 1997 - September 15, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

November 24, 1982 - September 10, 1997

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

BD
CRD#: 319
WASHINGTON, DC

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(2/21/2023)
RR
California
(3/23/2010)
RR
Colorado
(1/6/2011)
RR
District of Columbia
(1/10/2008)
RR
Maryland
(1/10/2008)
RR
North Carolina
(1/30/2008)
RR
Pennsylvania
(3/6/2008)
RR
South Carolina
(4/1/2008)
RR
Texas
(12/21/2022)
RR
Virginia
(1/10/2008)

Exams


State Security Law Exam
IAR
Series 65
Date: 10/1/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


WS
WASHINGTON SECURITIES CORPORATION
WASHINGTON SECURITIES CORPORATION

CRD#: 46213 / SEC#: , 8-51359

Maryland
Registered Investment Advisory firm - SEC (4/25/2014 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information


Main Address
6935 Wisconsin Ave No. 510 Suite 510, Chevy Chase, MD 20815
Mailing Address
6935 Wisconsin Ave No. 510, Chevy Chase, MD 20815-6113
Phone number
(301) 657-4810
Established
Virginia since 08/20/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
10

FINRA licenses (19 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers


NamePositionCRD#
ZASTROW, EARL RAYMONDPRESIDENT, OWNER1816127
TURNER, NICKEY DALLASDIRECTOR1631638
ABBOTT, HENRY BRUCEROSFP, CCO, PRINCIPAL, CORP SECRETARY1249819
MILLARD, HERBERT JOSEPHFINOP, MUNICIPAL PRINCIPAL817355

Regulatory assets under management


Total Number of Accounts8
AUM (Assets Under Management)$ 6,975,967

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.

Company Information


WASHINGTON SECURITIES CORPORATION

CRD#: 46213Chevy Chase, MD 20815-6113

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