RA
Rolando B. Abagat
SHAREHOLDERS SERVICE GROUP
San Diego, CA 92131
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CRD#: 1948023
RA
Professional summary
Rolando Bayani Abagat is a registered financial professional currently at SHAREHOLDERS SERVICE GROUP, LLC located in San Diego, California.
Rolando is registered as a RR (Registered Representative) and started their career in finance in 1990. Rolando has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 53, Series 8, Series 24 and Series 4 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Rolando Bayani Abagat's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 4, 2003 - Present
SHAREHOLDERS SERVICE GROUP, LLC
Office #1: 9845 Erma Road Ste 312, San Diego, CA 92131Office #2: 9845 Erma Road Suite 312, San Diego, CA 92131BD
CRD#: 125226
San Diego, CA
Past
April 29, 2002 - May 27, 2003
INTERACTIVE BROKERS CORP.
BD
CRD#: 117942
GREENWICH, CT
Past
December 10, 2001 - August 20, 2002
COWEN PRIME SERVICES TRADING LLC
BD
CRD#: 23857
NEW YORK, NY
Past
November 16, 2000 - October 1, 2001
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
June 1, 1998 - May 31, 2000
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
September 9, 1991 - June 1, 1998
JACK WHITE & COMPANY, INC.
BD
CRD#: 7645
Past
March 11, 1991 - August 6, 1991
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
September 19, 1990 - March 5, 1991
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/8/2004)
RR
Alaska(6/20/2007)
RR
Arizona(3/16/2004)
RR
Arkansas(5/9/2005)
RR
California(6/4/2003)
RR
Colorado(11/8/2005)
RR
Connecticut(3/17/2004)
RR
Delaware(10/5/2004)
RR
District of Columbia(1/12/2005)
RR
Florida(8/13/2004)
RR
Georgia(2/10/2004)
RR
Hawaii(2/17/2006)
RR
Idaho(6/29/2004)
RR
Illinois(8/13/2004)
RR
Indiana(2/4/2005)
RR
Iowa(3/17/2005)
RR
Kansas(9/26/2006)
RR
Kentucky(11/1/2007)
RR
Louisiana(1/31/2005)
RR
Maine(1/27/2004)
RR
Maryland(1/18/2005)
RR
Massachusetts(9/3/2004)
RR
Michigan(1/30/2004)
RR
Minnesota(2/26/2004)
RR
Mississippi(5/20/2004)
RR
Missouri(3/17/2004)
RR
Montana(6/21/2005)
RR
Nebraska(2/9/2007)
RR
Nevada(7/27/2004)
RR
New Hampshire(2/20/2004)
RR
New Jersey(3/16/2004)
RR
New Mexico(8/13/2004)
RR
New York(1/27/2004)
RR
North Carolina(2/27/2004)
RR
North Dakota(2/13/2006)
RR
Ohio(7/1/2004)
RR
Oklahoma(3/16/2007)
RR
Oregon(1/16/2004)
RR
Pennsylvania(4/8/2004)
RR
Rhode Island(10/12/2006)
RR
South Carolina(3/16/2004)
RR
South Dakota(3/14/2005)
RR
Tennessee(1/4/2005)
RR
Texas(3/18/2005)
RR
Utah(4/28/2004)
RR
Vermont(9/3/2004)
RR
Virginia(4/16/2004)
RR
Washington(9/3/2004)
RR
West Virginia(8/13/2004)
RR
Wisconsin(4/28/2004)
RR
Wyoming(6/20/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/15/2002
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SHAREHOLDERS SERVICE GROUP, LLC
SHAREHOLDER SERVICES GROUP, INC. | SHAREHOLDERS SERVICE GROUP, LLC | SHAREHOLDERS SERVICE GROUP, INC.
CRD#: 125226 / SEC#: , 8-65778
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
9845 Erma Road Ste 312, San Diego, CA 92131
Mailing Address
9845 Erma Road Ste 312, San Diego, CA 92131
Phone number
(858) 530-1031
Established
California since 09/30/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
