Roger T. Spann
Professional summary
Roger Thomas Spann is a registered financial professional currently at JOSEPH STONE CAPITAL L.L.C. located in New York, New York.
Roger is registered as a RR (Registered Representative) and started their career in finance in 1992. Roger has worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger Thomas Spann's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2018 - Present
JOSEPH STONE CAPITAL L.L.C.
Office #1: 29 Broadway Suite 1800, New York, NY 10006August 31, 2011 - May 31, 2018
WINDSOR STREET CAPITAL, LP
April 30, 2007 - September 3, 2008
BISHOP, ROSEN & CO., INC.
June 29, 2005 - May 3, 2007
SAXONY SECURITIES, INC.
June 29, 2000 - June 20, 2005
EASTBROOK CAPITAL GROUP LLC
October 5, 1998 - July 10, 2000
JWGENESIS SECURITIES, INC.
July 24, 1998 - September 23, 1998
NATIONAL SECURITIES CORPORATION
January 2, 1998 - July 24, 1998
THE BOSTON GROUP
December 10, 1997 - December 10, 1997
FIRST METROPOLITAN SECURITIES, INC.
September 23, 1996 - October 31, 1997
SHAMUS GROUP, INC.
August 15, 1995 - September 9, 1996
FIRST CAMBRIDGE SECURITIES CORPORATION
June 12, 1995 - August 2, 1995
JOSEPH ROBERTS & CO., INC.
July 6, 1993 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
November 4, 1992 - June 25, 1993
GKN SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/26/2019)
(5/21/2018)
(3/21/2022)
(6/25/2022)
(4/2/2019)
(4/13/2022)
(5/5/2022)
(6/20/2018)
(3/21/2022)
(5/21/2018)
(6/21/2018)
(5/21/2018)
(3/21/2022)
(5/3/2022)
(5/21/2018)
(5/21/2018)
(5/21/2018)
Exams
FINRA
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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