Roger S. Orefice
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 Stephen Orefice, CFP® was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1987. Roger had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 1991 - December 31, 1994
AMERICAN EXPRESS SERVICE CORPORATION
March 25, 1987 - October 17, 2022
AMERIPRISE FINANCIAL SERVICES, 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
Exams
Current Firm
AMERICAN EXPRESS SERVICE CORPORATION
CRD#: 10518 / SEC#: , 8-27456
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
