Roger L. Main
Professional summary
Roger Lewis Main II was barred by the SEC 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 1983. Prior to being barred, Roger had worked at 3 firms, which includes THOMAS M. NIXON & ASSOCIATES INC., THE O.N. EQUITY SALES COMPANY, MANAGED INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 1986 - November 4, 1992
THOMAS M. NIXON & ASSOCIATES, INC.
June 29, 1984 - April 27, 1988
THE O.N. EQUITY SALES COMPANY
December 21, 1983 - October 1, 1986
MANAGED INVESTMENTS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
THOMAS M. NIXON & ASSOCIATES, INC.
CRD#: 17047 / SEC#: , 8-34954
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NIXON, THOMAS MARION | PRESIDENT, CEO, CCO, PRINCIPAL | 833930 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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