Roger E. Pritchard
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 Elwin Pritchard was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1990. Roger had worked at 6 firms and has passed the Series 63, Series 6 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2007 - October 22, 2013
QUEST CAPITAL STRATEGIES, INC.
December 19, 2006 - July 3, 2007
CETERA ADVISORS LLC
January 24, 2001 - December 14, 2006
QUESTAR CAPITAL CORPORATION
September 3, 1999 - January 16, 2001
SPECTRUM INVESTMENT SERVICES, INC.
December 21, 1994 - September 30, 1999
WMA SECURITIES, INC.
January 30, 1990 - December 22, 1994
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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