Roger D. Scheerz
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 Daniel Scheerz was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1984. Roger had worked at 8 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 1996 - April 30, 1999
MILLER JOHNSON STEICHEN KINNARD, INC.
September 1, 1994 - April 8, 1996
PRINCIPAL FINANCIAL SECURITIES,INC.
July 19, 1993 - September 1, 1994
HAMILTON INVESTMENTS, INC.
May 12, 1993 - July 19, 1993
CRAIG-HALLUM, INC.
April 19, 1989 - May 5, 1993
COLLIERS SECURITIES LLC
June 23, 1987 - April 17, 1989
JOHN G. KINNARD AND COMPANY, INCORPORATED
November 12, 1986 - June 23, 1987
CADARET, GRANT & CO., INC.
October 31, 1984 - December 22, 1986
PRUCO SECURITIES, 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
Current Firm
MILLER JOHNSON STEICHEN KINNARD, INC.
CRD#: 694 / SEC#: , 8-1303
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 8 |
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.
