Roger F. Barthmaier
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 Francis Barthmaier was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1970. Roger had worked at 8 firms and has passed the Series 63, Series 55 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 1999 - June 28, 2013
BOENNING & SCATTERGOOD, INC.
May 3, 1999 - May 25, 1999
BOENNING & SCATTERGOOD, INC.
July 24, 1987 - May 10, 1999
RUTHERFORD, BROWN & CATHERWOOD, LLC
November 28, 1983 - July 25, 1987
BUTCHER & SINGER INC.
March 19, 1975 - November 18, 1983
RENNEISEN, RENNEISEN AND REDFIELD, INC.
October 26, 1972 - April 14, 1975
D. H. WALLACH, INC.
November 5, 1971 - November 20, 1972
HALLOWELL, SULZBERGER, JENKS & CO.
December 8, 1970 - August 19, 1971
CANNON L & COMPANY
July 8, 1970 - January 3, 1971
E. W. SMITH CO.
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
Series 55
Date: 9/26/2001
Limited Representative-Equity Trader ExamSeries 1
Date: 12/30/1968
Registered Representative ExaminationCurrent Firm
BOENNING & SCATTERGOOD, INC.
CRD#: 100 / SEC#: 801-68111, 8-15543
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOENNING & SCATTERGOOD HOLDINGS | HOLDING CO OF BOENNING & SCATTERGOOD INC | |
| MADDALONI, ANDREW MICHAEL | DIRECTOR | 2825865 |
| MARA, GEORGE MICHAEL JR | CHIEF COMPLIANCE OFFICER | 1574331 |
| MARA, GEORGE MICHAEL JR | PRESIDENT | 1574331 |
| SCATTERGOOD, HAROLD FRANCIS JR | DIRECTOR | 412133 |
| STANNARD, JEFFREY TAPPAN | DIRECTOR | 1337225 |
| WEIGAND, DALE ROBERT | DIRECTOR, CHIEF FINANCIAL OFFICER,FINOP | 1374549 |
Regulatory assets under management
| Total Number of Accounts | 1,321 |
| AUM (Assets Under Management) | $ 1,157,621,985 |
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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