Roger Alvarez
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 Alvarez, who also goes by Rogelio Alvarez, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1986. Roger 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
January 3, 2011 - January 16, 2015
TULLETT PREBON FINANCIAL SERVICES LLC
August 1, 2000 - January 18, 2011
NEWEDGE USA, LLC
July 1, 1998 - August 1, 2000
COWEN AND COMPANY
June 5, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
September 2, 1994 - May 24, 1996
M. J. WHITMAN, INC.
September 4, 1992 - September 8, 1994
W.A. CAPITAL MARKETS
July 17, 1991 - May 19, 1992
PURCELL GRAHAM INCORPORATED
August 13, 1990 - May 23, 1991
TP ICAP GLOBAL MARKETS AMERICAS LLC
September 28, 1988 - July 16, 1990
GINTELCO, INC.
February 28, 1986 - October 28, 1986
FINANCIAL SQUARE PARTNERS
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
Red Flags
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