Roger J. Turner
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 James Turner was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1987. Roger had worked at 9 firms and has passed the Series 65, Series 63, Series 7, 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
May 27, 2014 - December 17, 2018
FMSA
November 3, 2011 - June 15, 2012
HANCOCK WHITNEY INVESTMENT SERVICES INC.
November 3, 2011 - June 15, 2012
HANCOCK WHITNEY INVESTMENT SERVICES INC.
April 12, 2010 - November 22, 2011
MSI FINANCIAL SERVICES, INC.
April 29, 2009 - November 22, 2011
MSI FINANCIAL SERVICES, INC.
April 25, 2008 - April 28, 2009
CHASE INVESTMENT SERVICES CORP.
April 25, 2008 - April 28, 2009
CHASE INVESTMENT SERVICES CORP.
November 10, 2004 - April 22, 2008
MUTUAL SERVICE CORPORATION
July 17, 2003 - November 4, 2004
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 8, 2002 - June 26, 2003
BANC ONE SECURITIES CORPORATION
October 16, 1996 - June 26, 2003
BANC ONE SECURITIES CORPORATION
October 10, 1996 - October 16, 1996
CAPITAL BROKERAGE CORPORATION
June 15, 1990 - October 16, 1996
CAPITAL BROKERAGE CORPORATION
January 1, 1987 - May 17, 1990
METROPOLITAN LIFE INSURANCE COMPANY
January 1, 1987 - May 17, 1990
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
FMSA
CRD#: 154136 / SEC#: 801-71764
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
Current Firm
FMSA
CRD#: 154136 / SEC#: 801-71764
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 862 |
| AUM (Assets Under Management) | $ 189,133,382 |
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.
