Robert J. Rogoz
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.
Robert Joseph Rogoz was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 3, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2018 - March 12, 2020
TRIBAL CAPITAL MARKETS, LLC
February 1, 2018 - June 27, 2018
STILLPOINT CAPITAL, LLC
February 25, 2011 - July 6, 2016
GUGGENHEIM SECURITIES, LLC
December 10, 2002 - November 29, 2010
KEEFE, BRUYETTE & WOODS, INC.
July 17, 1996 - December 13, 2002
A. G. EDWARDS & SONS, INC.
April 11, 1995 - April 9, 1996
SANWA SECURITIES (USA) CO., L.P.
April 11, 1995 - April 25, 1996
SANWA UNIVERSAL SECURITIES CO., LLC
September 3, 1987 - April 3, 1995
CITICORP SECURITIES, INC.
September 26, 1984 - June 23, 1987
UBS FINANCIAL SERVICES INC.
May 22, 1984 - August 31, 1984
BECKER PARIBAS 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
Series 8
Date: 2/21/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRIBAL CAPITAL MARKETS, LLC
CRD#: 38901 / SEC#: , 8-48460
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
