Craig M. Rollins
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.
Craig M Rollins, who also goes by Craig M Porter Rollins, Craig Morgan Rollins, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1997. Craig had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2011 - July 31, 2019
DFPG INVESTMENTS, LLC
June 30, 2008 - September 30, 2011
TRIAD ADVISORS LLC
January 23, 2008 - August 1, 2019
DIVERSIFY WEALTH MANAGEMENT LLC
March 28, 2005 - July 24, 2008
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 11, 2004 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 10, 2004 - July 28, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 21, 2003 - May 13, 2004
VOYA FINANCIAL ADVISORS, INC.
October 21, 2003 - May 13, 2004
VOYA FINANCIAL ADVISORS, INC.
January 31, 2003 - October 17, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - October 14, 2003
WORLD GROUP SECURITIES, INC.
July 21, 1997 - April 12, 2002
WMA SECURITIES, 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
DFPG INVESTMENTS, LLC
CRD#: 155576 / SEC#: 801-107896, 8-68730
Contact information
FINRA licenses (52 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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