Ross A. Wittgren
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.
Ross Auten Wittgren was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 1993. Ross had worked at 10 firms and has passed the Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2004 - September 24, 2013
LASALLE ST SECURITIES, L.L.C.
May 3, 2001 - May 26, 2004
ACCESS FINANCIAL GROUP, INC.
November 15, 2000 - May 3, 2001
EISNER SECURITIES, INC.
December 1, 1999 - October 30, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
January 8, 1999 - October 7, 1999
CITICORP INVESTMENT SERVICES
March 2, 1998 - December 2, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
May 21, 1997 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
July 27, 1995 - May 5, 1997
PIPER SANDLER & CO.
April 21, 1993 - July 31, 1995
MORGAN STANLEY DW 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
Exams
Current Firm
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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