Roger L. Gilliam
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 Lattie Gilliam was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1986. Roger had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2002 - July 21, 2016
W. H. COLSON SECURITIES, INC.
January 7, 2002 - July 23, 2002
NORTHEAST SECURITIES, LLC
January 5, 1999 - December 31, 2001
INVESTORS CAPITAL CORP.
June 1, 1996 - December 31, 1998
WALNUT STREET SECURITIES, INC.
May 22, 1989 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
July 11, 1986 - October 17, 1988
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
W. H. COLSON SECURITIES, INC.
CRD#: 117789 / SEC#: , 8-53621
Contact information
Documents
Red Flags
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