Roger D. Dunham
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 Dale Dunham was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1998. Roger had worked at 7 firms and has passed the Series 66, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2010 - February 28, 2014
WILBANKS SECURITIES, INC.
October 22, 2010 - February 28, 2014
WILBANKS SECURITIES ADVISORY
February 7, 2007 - October 28, 2010
GREAT NATION INVESTMENT CORPORATION
January 3, 2007 - October 28, 2010
GREAT NATION INVESTMENT CORPORATION
April 25, 2003 - December 20, 2006
CULLUM & BURKS SECURITIES, INC.
January 31, 2002 - April 1, 2003
HARRISON DOUGLAS, INC.
April 5, 2001 - December 18, 2006
AMERICAN INVESTORS GROUP, INC.
March 30, 1998 - March 27, 2001
PRUCO SECURITIES, LLC.
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
Series 62
Date: 5/8/2001
Corporate Securities Limited Representative ExaminationCurrent Firm
WILBANKS SECURITIES, INC.
CRD#: 40673 / SEC#: , 8-49134
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
