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Roger D. Friesen

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CRD#: 214842
RF

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

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 28, 2015 - May 1, 2019

MOLONEY SECURITIES CO., INC.

BD
CRD#: 38535
Grand Island, NE
Past

May 9, 2002 - November 25, 2015

ALTON SECURITIES GROUP INC.

BD
CRD#: 39639
GRAND ISLAND, NE
Past

August 30, 1995 - April 23, 2002

GWR INVESTMENTS, INC.

BD
CRD#: 25312
OMAHA, NE
Past

December 3, 1993 - September 1, 1995

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

September 4, 1990 - December 14, 1993

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 7, 1981 - September 4, 1990

BLUNT ELLIS & LOEWI INCORPORATED

BD
CRD#: 7580
Past

January 5, 1972 - September 15, 1973

FIRST MID AMERICA CORPORATION

BD
CRD#: 5001
Past

January 5, 1972 - July 8, 1981

FIRST MID-AMERICA INC.

BD
CRD#: 306

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/8/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 12/23/1971
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/2/1982
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 5/1/1981
NYSE Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/24/1981
General Securities Principal Examination

Current Firm

MS
MOLONEY SECURITIES CO., INC.
ADVANCED FINANCIAL SOLUTIONS, LLC | WESTPORT ADVISORY GROUP | WARREN FINANCIAL SERVICES | VANCE CAPITAL | THE RESOURCE PARTNERS GROUP | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SYNERGISTIC FINANCIAL | SUGAR CREEK INVESTMENT ADVISORY GROUP, LLC | STERLING CAPITAL MANAGEMENT | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT, INC. | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SECURUS SENIOR PLANNING SOLUTIONS, LLC | SECURUS | SAT WEALTH MANAGEMENT LLC | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH GROUP | ROYAL ROUTE COMPANY LLC | PROFESSIONAL INVESTMENT MANAGEMENT | PLANNED INVESTMENT CO INC | NMG FINANCIAL SERVICES | NET STREET BROKERAGE | MOSECO ASSET MANAGEMENT | MONETARY MANAGEMENT GROUP, INC. | MOLONEY SECURITIES CO., INC. | MOLONEY SECURITIES ASSET MANAGEMENT | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, INC. | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JIM RAIA INVESTMENT GROUP | JCL CAPITAL MANAGEMENT, LLC | JCL CAPITAL MANAGEMENT | INVESTMENT CENTER OF TOMAHAWK | INVESTMENT CENTER OF ESTES PARK, INC. | INVESTMENT CENTER OF ESTES PARK | INVESTMENT CENTER | HERITAGE INVESTMENT MANAGEMENT, LLP | HERITAGE INVESTMENT MANAGEMENT LLP | GRAND GLAIZE WEALTH MANAGEMENT | GENE PANASENKO, INC. | FIRST MID AMERICA, INC. | EVERHART WEALTH MANAGEMENT LLC | CP WEALTH | CORRIGAN-JONES INVESTMENT ADVISORS | CHRISTIANSON FINANCIAL ADVISORS, LLC | CHANEY & ASSOCIATES | CANDICE MONTIE INSURANCE & INVESTMENTS | C&A FINANCIAL ADVISORS | BRIDGES FINANCIAL ASSOCIATES, INC. | BRIDGES FINANCIAL ASSOCIATES | ATLANTIC SENIOR ADVISORS LLC | ASSET ALLIANCE FINANCIAL | ARTISAN ASSET MANAGEMENT, LLC | ARTISAN ASSET MANAGEMENT | ARLINGTON FINANCIAL SERVICES

CRD#: 38535 / SEC#: 801-64722, 8-48326

BD
Terminated by SEC on 02/09/2026
PREMIUM
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Contact information

Main Address
13537 Barrett Parkway Drive Suite 300, Manchester, MO 63021
Mailing Address
Phone number
Established
Missouri since 05/03/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

MOLONEY SECURITIES - FORM ADV PART 2A BROCHURE - MARCH 2016 (3/29/2016)

Direct owners and executive officers

NamePositionCRD#
BRIAR GREEN HOLDINGS, INC.OWNER
CORRIGAN, BRIAN PATRICKINVESTOR/DIRECTOR4258969
HANCOCK, DONALD RALPHCHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN828811
HOLOWATUK, WILLIAM JAMESDIRECTOR OF COMPLIANCE6107023
HUME, SCOTT ALLENINVESTOR/DIRECTOR2894512
MEDLEY, JOSEPH RONALD JRINVESTOR/DIRECTOR2619119
MOLONEY, EDWARD JOHN JRPRESIDENT, OFFICER/DIRECTOR3188341
ROSEMAN, JEFFREY PATRICKCHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP6296481
STEEL, GEORGE DONALDINVESTOR/DIRECTOR716992
WIESER, RYAN MATHEWVICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR4940639

Disclosures

Regulatory Event11
Arbitration6

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.

Company Information

MOLONEY SECURITIES CO., INC.

CRD#: 38535

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