Roger J. Engemoen
Professional summary
Roger James Engemoen JR, who also goes by Rocky Engemoen, is a registered financial advisor currently at SAMCO CAPITAL MARKETS, INC. located in Austin, Texas.
Roger is registered as a RR (Registered Representative) and started their career in finance in 1986. Roger has worked at 6 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 27, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger James Engemoen JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 24, 2005 - Present
SAMCO CAPITAL MARKETS, INC.
Office #1: 6805 Capital Of Texas Highway Suite 350, Austin, TX 78731April 15, 2003 - October 31, 2006
SAMCO FINANCIAL ADVISORS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
September 24, 1999 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
December 15, 1995 - August 1, 2001
PENSON FINANCIAL SERVICES, INC.
March 23, 1987 - December 15, 1995
SERVICE ASSET MANAGEMENT COMPANY
May 22, 1986 - May 21, 1987
PINNACLE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/25/2005)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532 / SEC#: , 8-67023
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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