Rogelio D. Salazar
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.
Rogelio Davila Salazar, who also goes by Roy D Salazar, Roy Salazar, was a registered financial professional .
Rogelio is a previously registered financial professional and started their career in finance in 1985. Rogelio had worked at 9 firms and has passed the Series 63, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 1994 - February 3, 1995
SUNPOINT SECURITIES, INC.
February 8, 1994 - October 4, 1994
KEOGLER, MORGAN & COMPANY, INC.
August 23, 1993 - January 31, 1994
OSAIC WEALTH, INC.
January 22, 1993 - July 1, 1993
PRUCO SECURITIES, LLC.
April 20, 1992 - January 14, 1993
SECURITIES MANAGEMENT & RESEARCH, INC.
September 15, 1989 - December 31, 1990
HISTORIC SQUARE EQUITIES, INCORPORATED
January 2, 1987 - September 12, 1989
B.C. CHRISTOPHER SECURITIES CO.
July 3, 1986 - November 6, 1986
CONSECO FINANCIAL SERVICES, INC.
May 13, 1985 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
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
Current Firm
SUNPOINT SECURITIES, INC.
CRD#: 25442 / SEC#: , 8-41741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, VAN ROBERSON | CEO/PRESIDENT/FOUNDER | 1562328 |
| CHILDERS, DIANNE BAILEY | VP COMPLIANCE | |
| HAGEN, BRETT WILLIAM | CHIEF OPERATIONS OFFICER | |
| KATZ, DONALD LESTER | FINOP/EXECUTIVE VICE PRESIDENT ACCOUNTING AND COMPLIANCE | |
| SAPAUGH, MARVIN WAYNE | EXECUTIVE V.P. OF INVESTMENT SERVICES |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 1 |
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.
