Roger J. Barra
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 John Barra, who also goes by Roger J Barra, Roger Barra, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1992. Roger had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 25, Series 7 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2011 - October 24, 2013
AGILE PT GROUP LLC
January 27, 2004 - June 4, 2021
DRIVEWEALTH INSTITUTIONAL LLC
January 7, 2004 - January 20, 2004
SILVERMAN SECURITIES GROUP, INC.
October 1, 2000 - January 7, 2004
DRIVEWEALTH INSTITUTIONAL LLC
March 17, 1992 - August 4, 2000
FBN SECURITIES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 25
Date: 10/17/2000
NYSE Trading Assistant ExaminationCurrent Firm
AGILE PT GROUP LLC
CRD#: 155177 / SEC#: , 8-68702
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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