Denny S. Roja
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.
Denny S Roja, who also goes by Demosthenes Santa Catalina Roja, Denny Roja, was a registered financial professional .
Denny is a previously registered financial professional and started their career in finance in 1990. Denny had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 62 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
May 9, 2017 - November 14, 2018
STONEPINE ADVISORS, LLC
August 3, 2015 - May 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 2015 - May 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 2011 - November 18, 2013
FIVE 9 SECURITIES, LLC
March 27, 2003 - June 29, 2010
H. ROARK & ASSOCIATES, INC.
February 18, 1999 - July 29, 2002
NEWCAP PARTNERS, INC.
July 16, 1990 - January 21, 1997
HARRIS ROJA CORPORATION
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: 3/12/1990
Corporate Securities Limited Representative ExaminationCurrent Firm
STONEPINE ADVISORS, LLC
CRD#: 154217 / SEC#: , 8-68618
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REILLY, JAMES FRANCIS | CCO, EXEC. REP., AML SUPER. | |
| CAMPBELL, ROBERT | FINOP | 1349154 |
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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