Roger C. Faubel

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CRD#: 1233851

Professional summary

Roger Charles Faubel was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Roger Charles Faubel was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 1984. Roger had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 30, 2017 - May 8, 2018

CHELSEA FINANCIAL SERVICES

CRD#: 47770

STATEN ISLAND, NY

Past

May 16, 2016 - November 14, 2017

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOARDMAN, OH

Past

April 5, 2010 - May 17, 2016

RIDGEWAY & CONGER, INC.

CRD#: 113055

BOARDMAN, OH

Past

December 4, 2007 - March 31, 2010

GUNNALLEN FINANCIAL, INC

CRD#: 17609

BOARDMAN, OH

Past

July 7, 2005 - October 17, 2007

SAXONY SECURITIES, INC.

CRD#: 115547

YOUNGSTOWN, OH

Past

June 13, 2005 - July 5, 2005

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

May 24, 2004 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

January 4, 1999 - May 24, 2004

MIDSOUTH CAPITAL, INC.

CRD#: 35039

ATLANTA, GA

Past

January 9, 1995 - December 31, 1998

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

November 4, 1993 - August 29, 1995

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

October 5, 1993 - October 15, 1993

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

May 31, 1989 - October 5, 1993

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

July 20, 1987 - May 31, 1989

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

Past

May 20, 1985 - August 14, 1987

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 27, 1984 - June 3, 1985

FIRST CLEVELAND INVESTMENTS, INC.

CRD#: 3928

Past

January 26, 1984 - September 21, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/27/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/7/1987

General Securities Principal Examination

Current Firm

CHELSEA FINANCIAL SERVICES

CHELSEA FINANCIAL SERVICES | DBA CHELSEA FINANCIAL SERVICES | CHELSEA MORGAN SECURITIES, INC.

CRD#: 47770 / SEC#: , 8-51916

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

242 Main Street, Staten Island, NY 10307

Mailing Address

242 Main Street, Staten Island, NY 10307

Phone number

(718) 967-8400

Established

New York since 05/05/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PISAPIA, JOHN THOMAS	PRESIDENT	2336216
SEBOLD, STEPHEN RAPHAEL	CHIEF COMPLIANCE OFFICER	2453748

Disclosures

Regulatory Event

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.

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Roger C. Faubel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONAL SECURITIES CORPORATION

RIDGEWAY & CONGER, INC.

GUNNALLEN FINANCIAL, INC

SAXONY SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

ROUND HILL SECURITIES, INC.

MIDSOUTH CAPITAL, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

FIRST AFFILIATED SECURITIES

OSAIC WEALTH, INC.

FIRST AFFILIATED SECURITIES

FIRST AFFILIATED SECURITIES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FIRST CLEVELAND INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/1984

SIE

Date: 5/8/2018

Series 7

Date: 1/21/1984

Series 24

Date: 12/7/1987

Current Firm

CHELSEA FINANCIAL SERVICES

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CHELSEA FINANCIAL SERVICES

TRUST BUT VERIFY

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