RD

Roger L. Debock

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CRD#: 1763458
RD

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 Lee Debock, who also goes by Roger Lee Debock Jr, was a registered financial advisor .

Roger is a previously registered financial advisor and started their career in finance in 1988. Roger had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Roger Lee Debock Jr

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

July 10, 2006 - July 18, 2007

WFP SECURITIES

RIA
CRD#: 35098
SAN DIEGO, CA
Past

February 27, 2006 - July 18, 2007

WFP SECURITIES

BD
CRD#: 35098
SAN DIEGO, CA
Past

May 1, 1998 - February 3, 2004

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

March 13, 1996 - May 1, 1998

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

February 19, 1988 - March 8, 1996

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
State Security Law Exam
General Industry/Product Exam

Current Firm


WS
WFP SECURITIES
WESTERN FINANCIAL ADVISORS | WFP SECURITIES CORPORATION | WFP SECURITIES

CRD#: 35098 / SEC#: 801-64673, 8-46547

BD
Terminated by SEC on 07/30/2011
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Contact information


Main Address
Mailing Address
Phone number
Established
California since 12/04/1987
Firm type
Corporation
Fiscal year end
June
# of Employees

Direct owners and executive officers


NamePositionCRD#
WFP HOLDINGS, INC.PARENT COMPANY
DOLAN, JAMES MICHAELCHIEF COMPLIANCE OFFICER (CCO) & GENERAL SECURITIES PRINCIPAL1089125
JENSEN, GAIL MARIECHIEF SUPERVISION OFFICER (CSO) & GENERAL SECURITIES PRINCIPAL1943705
SCHOOLER, JOHN EVANPRESIDENT2368308

Disclosures


Regulatory Event1
Civil Event1
Arbitration1

Red Flags


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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information


WFP SECURITIES

CRD#: 35098

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