Kirk R. Roggensack
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.
Kirk Russel Roggensack was a registered financial professional .
Kirk is a previously registered financial professional and started their career in finance in 1985. Kirk had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2007 - November 15, 2018
FELTL & COMPANY
May 25, 2005 - December 14, 2007
A. G. EDWARDS & SONS, INC.
September 12, 2002 - June 10, 2005
UBS FINANCIAL SERVICES INC.
December 9, 1985 - September 27, 1999
PERSHING 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 15
Date: 10/30/1985
Foreign Currency Options ExaminationCurrent Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
