Kristoph J. Rollenhagen
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.
Kristoph Justus Rollenhagen, who also goes by Kris Rollenhagen, was a registered financial professional .
Kristoph is a previously registered financial professional and started their career in finance in 1989. Kristoph had worked at 6 firms and has passed the Series 64, Series 65, Series 63, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2012 - July 18, 2013
ENCLAVE CAPITAL LLC
March 9, 2007 - February 3, 2010
OPPENHEIMER & CO. INC.
November 22, 2005 - December 19, 2005
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
November 26, 1994 - October 10, 2005
PRUDENTIAL EQUITY GROUP, LLC
December 7, 1990 - November 7, 1994
GRUNTAL & CO., L.L.C.
December 15, 1989 - January 1, 1991
GMS GROUP
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 64
Date: 7/22/1994
NASAA Real Estate Securities ExamCurrent Firm
ENCLAVE CAPITAL LLC
CRD#: 22732 / SEC#: , 8-39592
Contact information
FINRA licenses (18 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
