Roger D. Friesen
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 Dale Friesen was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1972. Roger had worked at 8 firms and has passed the Series 63, SIE, Series 1, Series 4, Series 12 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
October 28, 2015 - May 1, 2019
MOLONEY SECURITIES CO., INC.
May 9, 2002 - November 25, 2015
ALTON SECURITIES GROUP INC.
August 30, 1995 - April 23, 2002
GWR INVESTMENTS, INC.
December 3, 1993 - September 1, 1995
DAIN RAUSCHER INCORPORATED
September 4, 1990 - December 14, 1993
WELLS FARGO CLEARING SERVICES, LLC
July 7, 1981 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
January 5, 1972 - September 15, 1973
FIRST MID AMERICA CORPORATION
January 5, 1972 - July 8, 1981
FIRST MID-AMERICA 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
Series 1
Date: 12/23/1971
Registered Representative ExaminationSeries 12
Date: 5/1/1981
NYSE Branch Manager ExaminationCurrent Firm
MOLONEY SECURITIES CO., INC.
CRD#: 38535 / SEC#: 801-64722, 8-48326
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIAR GREEN HOLDINGS, INC. | OWNER | |
| CORRIGAN, BRIAN PATRICK | INVESTOR/DIRECTOR | 4258969 |
| HANCOCK, DONALD RALPH | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN | 828811 |
| HOLOWATUK, WILLIAM JAMES | DIRECTOR OF COMPLIANCE | 6107023 |
| HUME, SCOTT ALLEN | INVESTOR/DIRECTOR | 2894512 |
| MEDLEY, JOSEPH RONALD JR | INVESTOR/DIRECTOR | 2619119 |
| MOLONEY, EDWARD JOHN JR | PRESIDENT, OFFICER/DIRECTOR | 3188341 |
| ROSEMAN, JEFFREY PATRICK | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP | 6296481 |
| STEEL, GEORGE DONALD | INVESTOR/DIRECTOR | 716992 |
| WIESER, RYAN MATHEW | VICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR | 4940639 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
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