Roger W. Nolan
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 William Nolan was a registered financial advisor .
Roger is a previously registered financial advisor and started their career in finance in 1983. Roger had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2006 - December 31, 2006
AMVEST SECURITIES, INCORPORATED
March 2, 2004 - October 5, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
August 28, 2002 - December 12, 2003
QUICK & REILLY, INC.
May 14, 1990 - December 12, 2003
QUICK & REILLY, INC.
October 20, 1983 - June 6, 1990
COLUMBUS EQUITIES INTERNATIONAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AMVEST SECURITIES, INCORPORATED
CRD#: 18380 / SEC#: , 8-36843
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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