Roger D. Lockhart
Professional summary
Roger Dean Lockhart 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 5 firms, which includes VIEWTRADE SECURITIES INC., VIEWTRADE FINANCIAL, BARRON CHASE SECURITIES INC., AMERICAN TRADING SECURITIES CORP., ANDERSON BRYANT & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2005 - August 3, 2006
VIEWTRADE SECURITIES, INC.
May 28, 2003 - December 21, 2005
VIEWTRADE FINANCIAL
November 10, 2000 - August 11, 2003
VIEWTRADE SECURITIES, INC.
September 6, 1994 - November 9, 2000
BARRON CHASE SECURITIES, INC.
June 30, 1989 - September 10, 1994
AMERICAN TRADING SECURITIES CORP.
November 21, 1986 - August 11, 1989
ANDERSON, BRYANT & CO.
State Registrations and Notice Filings
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Exams
Current Firm
VIEWTRADE SECURITIES, INC.
CRD#: 46987 / SEC#: , 8-51605
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
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