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RM

Roger J. Mouallem

Some features on this profile are disabled
CRD#: 1815781
RM

Professional summary

Roger Jack Mouallem 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 professional and started their career in finance in 1988. Prior to being barred, Roger had worked at 10 firms, which includes DAWSON JAMES SECURITIES INC., CAPITAL GROWTH FINANCIAL LLC, OPPENHEIMER & CO. INC., PRIME CHARTER LTD., TRADE.COM ONLINE SECURITIES INC., GKN SECURITIES CORP., GRUNTAL & CO. L.L.C., CIBC WORLD MARKETS CORP., LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

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

February 7, 2008 - January 16, 2009

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
BOCA RATON, FL
Past

August 18, 2003 - February 7, 2008

CAPITAL GROWTH FINANCIAL, LLC

BD
CRD#: 41040
BOCA RATON, FL
Past

January 2, 2002 - August 19, 2003

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

October 25, 2000 - January 2, 2002

PRIME CHARTER LTD.

BD
CRD#: 25668
NEW YORK, NY
Past

March 27, 2000 - October 25, 2000

TRADE.COM ONLINE SECURITIES, INC.

BD
CRD#: 36189
NEW YORK, NY
Past

April 22, 1996 - March 24, 2000

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

March 22, 1995 - April 2, 1996

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

July 26, 1991 - April 6, 1995

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

October 22, 1990 - August 23, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

January 16, 1989 - October 30, 1990

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 25, 1988 - August 23, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, 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
RR
Series 63
Date: 7/11/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/14/1999
General Securities Principal Examination

Current Firm

DJ
DAWSON JAMES SECURITIES, INC.
DAWSON JAMES SECURITIES, INC.

CRD#: 130645 / SEC#: , 8-66367

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Mailing Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Phone number
(561) 391-5555
Established
Florida since 07/30/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARK FINANCIAL SERVICES, INC.OWNER
DORFMAN, JENNIFERCHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER3009328
KEYSER, ROBERT DAWSON JR.CEO1291503
STICE, HAROLD EUGENECHIEF FINANCIAL OFFICER/FINOP1349210

Disclosures

Regulatory Event12
Civil Event1
Arbitration3

Red Flags

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Company Information

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

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