Maryann G. Roeglin
Professional summary
Maryann Gehringer Roeglin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Maryann is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Maryann had worked at 6 firms, which includes LEONARD & COMPANY, FERRIS BAKER WATTS LLC, OPPENHEIMER & CO. INC., FIRST OF MICHIGAN CORPORATION, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2004 - June 14, 2005
LEONARD & COMPANY
November 21, 2002 - March 3, 2004
FERRIS, BAKER WATTS, LLC
August 21, 2001 - April 6, 2004
FERRIS, BAKER WATTS, LLC
January 1, 1999 - August 24, 2001
OPPENHEIMER & CO. INC.
January 20, 1995 - January 1, 1999
FIRST OF MICHIGAN CORPORATION
March 12, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 12, 1991 - November 7, 1994
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
LEONARD & COMPANY
CRD#: 36527 / SEC#: 801-60035, 8-47298
Contact information
Disclosures
| Regulatory Event | 13 |
| Arbitration | 2 |
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