Roger L. Sherman-rivera
Professional summary
Roger Louis Sherman-rivera, who also goes by Roger L Sherman, Roger Louis Sherman, Roger Sherman, Roger L Sherman-rivera, Roger Sherman-rivera, is a registered financial professional currently at ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.
Roger is registered as a RR (Registered Representative) and started their career in finance in 1992. Roger has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger Louis Sherman-rivera's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 12, 2019 - Present
ALIGHT FINANCIAL SOLUTIONS, LLC
Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269May 15, 2018 - February 1, 2019
MML INVESTORS SERVICES, LLC
April 29, 2016 - March 7, 2018
EQUITABLE ADVISORS, LLC
November 28, 2005 - February 17, 2016
SANTANDER SECURITIES LLC
December 2, 1996 - October 25, 2005
DORAL SECURITIES, INC.
April 18, 1996 - December 19, 1996
GOVERNMENT DEVELOPMENT BANK FOR PUERTO RICO CAPITAL FUND
December 10, 1992 - February 8, 1995
CHASE SECURITIES (P.R.), 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
(12/12/2019)
(12/12/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
ALIGHT FINANCIAL SOLUTIONS, LLC
CRD#: 36509 / SEC#: , 8-47344
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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