Rolland G. Riesberg
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.
Rolland George Riesberg, who also goes by Rollie Riesberg, was a registered financial professional .
Rolland is a previously registered financial professional and started their career in finance in 1985. Rolland had worked at 10 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2013 - September 22, 2021
CAPE SECURITIES INC.
August 1, 2013 - September 18, 2013
THE LEADERS GROUP, INC.
June 23, 2009 - August 14, 2013
PRINCIPAL SECURITIES, INC.
December 4, 2006 - June 24, 2009
MM ASCEND LIFE INVESTOR SERVICES, LLC
March 29, 2000 - December 4, 2006
STUART SECURITIES CORP.
July 1, 1998 - March 30, 2000
SUNAMERICA SECURITIES, INC.
January 31, 1997 - June 15, 1998
OSAIC WEALTH, INC.
December 16, 1994 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
June 5, 1990 - December 16, 1994
BUCKHEAD FINANCIAL CORPORATION
December 12, 1985 - June 5, 1990
PFS INVESTMENTS INC.
May 3, 1985 - June 5, 1990
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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