Roger R. Risty
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 Raymond Risty was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1986. Roger had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2003 - August 11, 2020
OAKWOOD CAPITAL SECURITIES, INC.
July 14, 1987 - October 15, 2002
WOODBURY FINANCIAL SERVICES, INC.
July 31, 1986 - June 13, 1990
F & G SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OAKWOOD CAPITAL SECURITIES, INC.
CRD#: 21000 / SEC#: , 8-38631
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
Red Flags
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