David J. Roskoph
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.
David John Roskoph was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2001 - December 31, 2004
NEWEDGE SECURITIES, LLC
March 18, 1997 - December 31, 2020
RENNAISAT CAPITAL, INC.
October 1, 1996 - December 14, 2001
PACIFIC WEST SECURITIES, INC.
November 10, 1995 - October 3, 1996
SECURITIES AMERICA, INC.
May 3, 1994 - November 14, 1995
AMERICAN GENERAL SECURITIES INCORPORATED
March 24, 1993 - May 2, 1994
NYLIFE SECURITIES LLC
August 12, 1991 - February 12, 1993
MONY SECURITIES CORPORATION
January 25, 1989 - July 25, 1989
ADVENT SECURITIES, INC.
July 8, 1987 - December 13, 1988
HAMILTON, WILLIAMS & CO., INC.
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
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
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.
