Roger A. Kapsalis
Professional summary
Roger Angelo Kapsalis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roger is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Roger had worked at 19 firms, which includes WESTROCK ADVISORS INC., GRANTA CAPITAL GROUP LLC, J.P. TURNER & COMPANY L.L.C., LH ROSS & COMPANY INC., COUCH & COMPANY INCORPORATED, SUNPOINT SECURITIES INC., TRAUTMAN WASSERMAN & COMPANY INC., BARRON CHASE SECURITIES INC., ROYAL HUTTON SECURITIES CORP., ARGENT SECURITIES INC., TOLUCA PACIFIC SECURITIES CORP., S. D. COHN & CO. INC., INVESTORS ASSOCIATES INC., PARAGON CAPITAL MARKETS INC., JOSEPH DILLON & COMPANY INC., HANOVER STERLING & COMPANY LTD., BARINGTON CAPITAL GROUP L.P., LEHMAN BROTHERS INC., SOUTH RICHMOND SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2003 - July 15, 2004
WESTROCK ADVISORS, INC.
January 16, 2003 - May 30, 2003
GRANTA CAPITAL GROUP LLC
August 29, 2001 - April 15, 2002
J.P. TURNER & COMPANY, L.L.C.
November 20, 2000 - September 6, 2001
LH ROSS & COMPANY, INC.
April 26, 2000 - October 19, 2000
COUCH & COMPANY, INCORPORATED
December 14, 1999 - April 26, 2000
J.P. TURNER & COMPANY, L.L.C.
July 8, 1999 - November 19, 1999
SUNPOINT SECURITIES, INC.
March 16, 1999 - July 1, 1999
TRAUTMAN WASSERMAN & COMPANY, INC.
July 6, 1998 - October 6, 1998
BARRON CHASE SECURITIES, INC.
September 25, 1997 - May 19, 1998
ROYAL HUTTON SECURITIES CORP.
December 2, 1996 - June 11, 1997
ARGENT SECURITIES, INC.
September 18, 1996 - April 16, 1997
TOLUCA PACIFIC SECURITIES CORP.
April 25, 1996 - July 15, 1996
S. D. COHN & CO., INC.
October 26, 1995 - April 25, 1996
INVESTORS ASSOCIATES, INC.
September 15, 1995 - November 6, 1995
PARAGON CAPITAL MARKETS, INC.
April 27, 1995 - May 24, 1995
JOSEPH DILLON & COMPANY INC.
November 4, 1993 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
April 21, 1993 - October 11, 1993
BARINGTON CAPITAL GROUP, L.P.
June 30, 1992 - April 30, 1993
HANOVER, STERLING & COMPANY LTD.
February 6, 1992 - July 10, 1992
LEHMAN BROTHERS INC.
January 6, 1992 - January 29, 1992
SOUTH RICHMOND SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WESTROCK ADVISORS, INC.
CRD#: 114338 / SEC#: , 8-53419
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
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