Roger L. Mickey
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 Mickey was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1985. Roger had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 1990 - October 29, 1990
U.S. BANCORP SECURITIES
September 17, 1990 - July 3, 2006
IDS LIFE INSURANCE COMPANY
September 17, 1990 - May 21, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
August 21, 1985 - August 24, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
U.S. BANCORP SECURITIES
CRD#: 17439 / SEC#: , 8-35219
Contact information
Documents
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.
