Roger A. Fuller
Professional summary
Roger Allan Fuller was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roger is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Roger had worked at 5 firms, which includes CHASE INVESTMENT SERVICES CORP., VALIC FINANCIAL ADVISORS INC., VOYA FINANCIAL PARTNERS LLC, AETNA LIFE INSURANCE AND ANNUITY COMPANY, LOWRY FINANCIAL SERVICES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2005 - February 8, 2012
CHASE INVESTMENT SERVICES CORP.
October 4, 2005 - February 8, 2012
CHASE INVESTMENT SERVICES CORP.
August 20, 2003 - September 29, 2005
VALIC FINANCIAL ADVISORS, INC.
September 9, 2002 - September 29, 2005
VALIC FINANCIAL ADVISORS, INC.
October 15, 1993 - December 4, 2001
VOYA FINANCIAL PARTNERS, LLC
April 17, 1989 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
February 23, 1988 - April 25, 1988
LOWRY FINANCIAL SERVICES CORPORATION
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
CHASE INVESTMENT SERVICES CORP.
CRD#: 25574 / SEC#: 801-36407, 8-41840
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDINGS LLC | DIRECT OWNER | |
| ADITYA, MAHESH CHATTA | BOARD MEMBER | 5586574 |
| CHABOT, ALAN JAMES | PRESIDENT & CEO, BOARD MEMBER | 2617874 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DEEGAN, DANIEL ROBERT | EXECUTIVE VICE PRESIDENT | 1143339 |
| DURKEE, JEFFREY WILLIS | EXECUTIVE VICE PRESIDENT | 1009266 |
| GINDI, SOL | CFO, BOARD MEMBER | 4903526 |
| GRAY, ANNE LOUISE | SENIOR VICE PRESIDENT | 1779722 |
| HAIGIS, PHILIP HOWARD JR. | EXECUTIVE VICE PRESIDENT | 4340276 |
| JULIAN, BETH WILSON | EXECUTIVE VICE PRESIDENT | 1071047 |
| KLEINBAUM, GREGG ADAM | EXECUTIVE VICE PRESIDENT | 2555215 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| PANTALEO, LAURA ANN | EXECUTIVE VICE PRESIDENT | 1501065 |
| QUINN, JOHN P | EXECUTIVE VICE PRESIDENT,NATIONAL SALES DIRECTOR | 5631540 |
| REED, JAMIE MATTHEW | EXECUTIVE VICE PRESIDENT | 2797383 |
| SKARDA, JOSEPH BRIEL | EXECUTIVE VICE PRESIDENT | 4288186 |
| TEPPER, ERIC DAVID | EXECUTIVE VICE PRESIDENT | 2242377 |
| WILBURN, DOUGLAS FREDERICK | CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 62 |
| Arbitration | 19 |
Red Flags
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