Roger K. Broadaway
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 Kenneth Broadaway, who also goes by Roger Broadway, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1987. Roger had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2006 - December 1, 2016
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
September 8, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
March 23, 2000 - September 6, 2000
PENSON FINANCIAL SERVICES, INC.
October 4, 1996 - March 17, 2000
AMHERST SECURITIES GROUP, L.P.
February 1, 1996 - October 29, 1996
FIRST SOUTHWEST COMPANY, LLC
September 6, 1995 - February 13, 1996
MASTERSON MORELAND SAUER WHISMAN, INC.
March 15, 1990 - September 12, 1995
GSC SECURITIES, INC.
July 27, 1987 - September 12, 1995
GOVERNMENT SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 6/12/1986
Non-Member General Securities ExaminationCurrent Firm
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532 / SEC#: , 8-67023
Contact information
FINRA licenses (52 States and Territories)
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.
