Roger P. Stepaniak
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 Paul Stepaniak, who also goes by Rog Stepaniak, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1983. Roger had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2012 - March 31, 2015
FIRST LIBERTIES FINANCIAL
December 17, 2009 - March 12, 2010
CEDAR POINT CAPITAL, LLC
November 9, 2001 - April 20, 2005
MARSHALL FINANCIAL, INC.
May 17, 1999 - November 9, 2001
SECURITIES RESOLUTION CORPORATION
October 27, 1995 - January 27, 1999
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
March 27, 1985 - September 7, 1993
MARQUETTE FINANCIAL GROUP, INC.
November 2, 1984 - March 6, 1985
SECURITIES RESOLUTION CORPORATION
March 1, 1983 - October 29, 1984
CITIGROUP GLOBAL MARKETS INC.
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
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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