Roger E. Davis
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 Edward Davis was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1988. Roger had worked at 7 firms and has passed the 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
February 16, 2001 - November 9, 2001
J.P. TURNER & COMPANY, L.L.C.
December 19, 2000 - February 15, 2001
AUERBACH, POLLAK & RICHARDSON INC.
October 10, 1994 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
April 15, 1993 - September 2, 1994
NEW ENGLAND SECURITIES
February 22, 1991 - March 22, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 22, 1991 - March 22, 1993
EQUITABLE ADVISORS, LLC
August 8, 1988 - December 8, 1990
F.N. WOLF & CO., 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
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
