Roger A. Bastian
Professional summary
Roger Allan Bastian is a registered financial professional currently at J.W. COLE FINANCIAL, INC. located in Red Hook, New York.
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 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger Allan Bastian's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2019 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 7405 South Broadway, Red Hook, NY 12571November 12, 2010 - December 31, 2018
THE INVESTMENT CENTER, INC.
January 18, 2005 - November 22, 2010
QUESTAR CAPITAL CORPORATION
May 19, 1997 - January 24, 2005
SUNAMERICA SECURITIES, INC.
April 22, 1996 - March 7, 1997
MONY SECURITIES CORPORATION
August 26, 1986 - March 20, 1996
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/19/2019)
(8/12/2019)
(1/3/2019)
Exams
FINRA
Current Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
