Roger T. Prenta
Professional summary
Roger Terry Prenta is a registered financial professional currently at AMERICAN TRUST INVESTMENT SERVICES, INC. located in Chicago, Illinois.
Roger is registered as a RR (Registered Representative) and started their career in finance in 1995. Roger has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger Terry Prenta's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2014 - Present
AMERICAN TRUST INVESTMENT SERVICES, INC.
Office #1: 230 W. Monroe Suite 300, Chicago, IL 60606June 4, 1999 - March 26, 2014
LASALLE ST SECURITIES, L.L.C.
March 24, 1998 - December 2, 1998
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 4, 1996 - January 26, 1998
MORGAN STANLEY DW INC.
October 20, 1995 - March 25, 1996
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/29/2020)
(1/13/2020)
(1/8/2020)
(1/9/2020)
(1/8/2020)
(2/14/2020)
Exams
FINRA
Current Firm
AMERICAN TRUST INVESTMENT SERVICES, INC.
CRD#: 3001 / SEC#: , 8-14394
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| 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.
