Roger A. Householder
Professional summary
Roger Arden Householder was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roger is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Roger had worked at 2 firms, which includes INCAP SECURITIES INC., CETERA WEALTH SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 1999 - September 29, 1999
INCAP SECURITIES, INC.
June 26, 1986 - December 31, 1996
CETERA WEALTH SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
INCAP SECURITIES, INC.
CRD#: 25401 / SEC#: , 8-41590
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INCAP GROUP | DIRECT OWNER | |
| TENNIES, F JAMES | PRESIDENT/CHIEF COMPLIANCE OFFICER | 2538157 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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