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Roger W. Squier

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CRD#: 1259540
RS

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 Williams Squier was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 2010. Roger had worked at 2 firms and has passed the Series 28 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

April 22, 2010 - September 3, 2010

PRESIDIO CAPITAL ADVISORS, LLC

BD
CRD#: 116284
SAN FRANCISCO, CA
Past

April 22, 2010 - July 11, 2013

PRESIDIO MERCHANT PARTNERS LLC

BD
CRD#: 46473
SAN FRANCISCO, CA

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

Principal/Supervisory Exam
RR
Series 28
Date: 4/21/2010
Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

PC
PRESIDIO CAPITAL ADVISORS, LLC
INNOVENT SECURITIES GROUP, LLC | PRESIDIO CAPITAL ADVISORS, LLC

CRD#: 116284 / SEC#: , 8-53539

BD
Terminated by SEC on 11/06/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 09/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRESIDIO FINANCIAL PARTNERS LLCHOLDING COMPANY
COBB, BRODIE LYLEPRESIDENT2286448
SQUIER, ROGER WILLIAMSCFO/FINOP1259540
WALLACE, KENNETH CARROLL JRROSFP832679
ZLOT, JEFFREY LOUISCHIEF COMPLIANCE OFFICER2732355

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.

Company Information

PRESIDIO CAPITAL ADVISORS, LLC

CRD#: 116284

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