Roger A. Levine
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 Alan Levine was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1984. Roger had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 8 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
January 3, 2014 - May 13, 2016
MCNAMEE LAWRENCE SECURITIES, LLC
December 15, 2011 - December 5, 2013
ASCENDIANT CAPITAL MARKETS, LLC
April 25, 2006 - December 15, 2011
VIEWPOINT SECURITIES, LLC
May 1, 2001 - January 5, 2006
PACIFIC CREST SECURITIES LLC
August 16, 2000 - April 12, 2001
ELECTRONIC TRADING GROUP, LLC
April 19, 1998 - July 28, 2000
PREFERREDTRADE, INC.
September 23, 1993 - December 23, 1997
VOLPE BROWN WHELAN & COMPANY, LLC
June 8, 1989 - April 23, 1993
MONTGOMERY SECURITIES
February 1, 1984 - July 18, 1989
GOLDMAN SACHS & CO. LLC
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 55
Date: 5/10/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 10/16/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MCNAMEE LAWRENCE SECURITIES, LLC
CRD#: 46941 / SEC#: , 8-51599
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCNAMEE, LAWRENCE & COMPANY LLC | SOLE MEMBER | |
| MCNAMEE, GILES WEBB | PRESIDENT / FINOP / CHIEF COMPLIANCE OFFICER | 710349 |
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.
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