Maria E. Roger
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.
Maria Eugenia Roger, who also goes by Jenny Roger, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 1985. Maria had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 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
July 25, 2014 - February 17, 2015
TAVIRA SECURITIES US LLC
September 15, 2009 - September 5, 2012
ARCA CAPITAL INVESTMENTS, INC.
December 11, 2006 - June 16, 2009
INVESTMENT PLACEMENT GROUP
July 26, 2004 - January 5, 2007
ATLAS ONE FINANCIAL GROUP, LLC
October 13, 1998 - July 15, 2004
CITIGROUP GLOBAL MARKETS INC.
April 18, 1997 - December 18, 1998
CITICORP SECURITIES, INC.
May 15, 1996 - April 21, 1997
CIBC WORLD MARKETS CORP.
November 15, 1989 - April 3, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 19, 1985 - March 7, 1989
KIDDER, PEABODY & CO. INCORPORATED
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
TAVIRA SECURITIES US LLC
CRD#: 145046 / SEC#: , 8-67697
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TAVIRA US LLC | MEMBER OWNER | |
| KARPEL, STEVEN ROY | CEO/PRESIDENT/CCO/FINOP | 2100626 |
Red Flags
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