Roger J. Walstra
Professional summary
Roger John Walstra was barred by both the FINRA and 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 1984. Prior to being barred, Roger had worked at 5 firms, which includes SPECTRUM INVESTMENT SERVICES INC., MARINER FINANCIAL SERVICES INC., VESTAX SECURITIES CORPORATION, EASTERN CAPITAL SECURITIES INC., EASTERN CAPITAL CORPORATION.
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Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 1997 - June 21, 2000
SPECTRUM INVESTMENT SERVICES, INC.
January 5, 1996 - June 9, 1997
MARINER FINANCIAL SERVICES, INC.
June 2, 1987 - December 31, 1995
VESTAX SECURITIES CORPORATION
July 20, 1984 - August 11, 1984
EASTERN CAPITAL SECURITIES, INC.
January 25, 1984 - December 18, 1987
EASTERN CAPITAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
SPECTRUM INVESTMENT SERVICES, INC.
CRD#: 36962 / SEC#: , 8-47557
Contact information
Documents
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