Roger J. Michaud
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 Joseph Michaud, who also goes by Roger Joseph Michaud, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1983. Roger had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22, Series 24, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2020 - April 2, 2024
FRANKLIN DISTRIBUTORS, LLC
October 10, 2018 - July 7, 2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
June 6, 1989 - July 7, 2021
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
June 27, 1986 - October 5, 1987
RL DANNER SECURITIES, INC.
April 23, 1985 - April 29, 1986
AMERICAN BEACON PARTNERS, INC.
August 10, 1983 - April 29, 1985
S-B-F SECURITIES CO.
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
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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