Roger L. Thusius
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 Lee Thusius was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1985. Roger had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2009 - December 3, 2015
KESTRA INVESTMENT SERVICES, LLC
December 7, 2009 - December 3, 2015
KESTRA INVESTMENT SERVICES, LLC
January 4, 1999 - December 31, 2009
MEDALLION INVESTMENT SERVICES, INC.
February 14, 1997 - December 31, 2009
MEDALLION ADVISORY SERVICES, LLC
September 16, 1996 - December 31, 1998
SECURITIES SERVICE NETWORK, LLC
January 1, 1996 - September 27, 1996
IFG NETWORK SECURITIES, INC.
November 10, 1988 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
May 27, 1988 - November 16, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
April 17, 1985 - June 3, 1988
PFS INVESTMENTS INC.
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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