Richard E. Rorer
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.
Richard Emerson Rorer was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 5 firms and has passed the Series 63, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 1989 - February 20, 1990
AZTEC SECURITIES, INC.
January 17, 1989 - July 10, 1989
BALLY SECURITIES, INC.
July 1, 1988 - September 19, 1988
BALLY SECURITIES, INC.
January 22, 1988 - February 11, 1988
ALPHA OMEGA SECURITIES, INC.
August 26, 1983 - September 9, 1986
SCOTT SECURITIES, INC.
January 12, 1983 - February 22, 1983
SOURCE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
AZTEC SECURITIES, INC.
CRD#: 23420 / SEC#: , 8-40414
Contact information
Documents
Red Flags
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