John A. Roswech
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.
John Alexander Roswech III, who also goes by John Alexander Roswech Jr, John Alexander Roswech, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 1995 - June 13, 1995
STUART, COLEMAN & CO., INC.
May 19, 1994 - January 25, 1995
JANNEY MONTGOMERY SCOTT LLC
February 25, 1993 - June 8, 1994
GLEACHER & COMPANY SECURITIES, INC.
July 24, 1991 - March 2, 1993
MCLAUGHLIN, PIVEN, VOGEL 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
STUART, COLEMAN & CO., INC.
CRD#: 8642 / SEC#: , 8-25824
Contact information
Documents
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.
