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RS

Roger J. Sit

SIA SECURITIES
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 2174779
RS

Professional summary

Roger J Sit is a registered financial professional currently at SIA SECURITIES CORPORATION located in Minneapolis, Minnesota.

Roger is registered as a RR (Registered Representative) and started their career in finance in 1991. Roger has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

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) - BD

Click below to view Roger J Sit's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

March 20, 1998 - Present

SIA SECURITIES CORPORATION

Office #1: 3300 Ids Center 80 S. 8th Street, Minneapolis, MN 55402
BD
CRD#: 35403
Minneapolis, MN
Past

October 4, 1991 - January 22, 1998

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Minnesota
(6/30/1998)

Exams

State Security Law Exam
RR
Series 63
Date: 12/6/1991
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 7
Date: 10/3/1991
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SIA SECURITIES CORPORATION
SIA SECURITIES CORP. | SIA SECURITIES CORPORATION

CRD#: 35403 / SEC#: , 8-46668

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
3300 Ids Center 80 S. 8th Street, Minneapolis, MN 55402
Mailing Address
3300 Ids Center 80 S. 8th Street, Minneapolis, MN 55402
Phone number
(612) 332-3223
Established
Minnesota since 06/19/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SIT INVESTMENT ASSOCIATES, INC.SHAREHOLDER
RASMUSSEN, PAUL EDWARDPRESIDENT, TREASURER, CHIEF COMPLIANCE OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2421880
SIT, ROGER JDIRECTOR, CHAIRMAN2174779

Disclosures

Regulatory Event1

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

SIA SECURITIES CORPORATION

CRD#: 35403Minneapolis, MN 55402

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