Roland A. Fash
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.
Roland Arthur Fash was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 1986. Roland had worked at 9 firms and has passed the Series 63, 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
August 15, 1995 - November 14, 2014
SECURITIES SERVICE NETWORK, LLC
March 27, 1995 - August 18, 1995
H.J. MEYERS & CO., INC.
May 26, 1994 - May 22, 1995
MEYERS SECURITIES CORPORATION
September 21, 1992 - June 9, 1994
TRIGEM AMERSTOCK CORPORATION
December 13, 1991 - September 17, 1992
HANMI SECURITIES, INC.
February 2, 1990 - October 12, 1990
A. G. EDWARDS & SONS, INC.
May 20, 1988 - February 15, 1990
J. T. MORAN & CO., INC.
January 1, 1988 - May 23, 1988
SHERWOOD CAPITAL, INC.
August 21, 1986 - October 22, 1987
THE STUART-JAMES COMPANY, 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
SECURITIES SERVICE NETWORK, LLC
CRD#: 13318 / SEC#: , 8-28980
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHARE HOLDER | |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR | 3086071 |
| GODBEE, CRYSTAL LEE | VICE PRESIDENT OF OPERATIONS | 5629010 |
| KLIMAS, RONALD THOMAS | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2321602 |
| MAAS, JONATHAN ELMER | VICE PRESIDENT, TRADING | 2793069 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PATEL, JAYAPRAKASH MOHANBHAI | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 2973297 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| WILKINSON, WADE SHANNON | PRESIDENT AND CEO | 2312703 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
| Bond | 1 |
Red Flags
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