Roger L. Debock
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2006 - July 18, 2007
WFP SECURITIES
February 27, 2006 - July 18, 2007
WFP SECURITIES
May 1, 1998 - February 3, 2004
WAMU INVESTMENTS, INC.
March 13, 1996 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
February 19, 1988 - March 8, 1996
MORGAN STANLEY DW 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
WFP SECURITIES
CRD#: 35098 / SEC#: 801-64673, 8-46547
Contact information
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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