Roger N. Gladstone
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 Neil Gladstone was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1983. Roger had worked at 5 firms and has passed the Series 63, 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
September 6, 2001 - April 30, 2009
EARLYBIRDCAPITAL, INC.
January 31, 1996 - December 20, 2001
SSI SECURITIES CORP.
October 8, 1987 - September 10, 2001
GKN SECURITIES CORP.
November 20, 1986 - June 25, 1987
MORGAN GLADSTONE & CO. INC.
June 7, 1983 - December 16, 1983
THE STUART-JAMES COMPANY, 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
Current Firm
EARLYBIRDCAPITAL, INC.
CRD#: 28629 / SEC#: , 8-43828
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
