Roger I. Hastings
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.
Roger Ivan Hastings, CFP® was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1969. Roger had worked at 11 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1984
Experience
January 4, 1995 - March 20, 1999
TRUSTMONT FINANCIAL GROUP, INC.
June 6, 1990 - April 13, 1995
FIRST CASCADE SECURITIES, INC
September 19, 1989 - March 19, 1990
REEDER, OWEN
August 25, 1987 - August 28, 1989
THE GREAT-WEST LIFE ASSURANCE COMPANY
July 7, 1987 - September 22, 1988
MORISON SECURITIES, INC.
October 27, 1986 - July 18, 1987
FIRST CASCADE SECURITIES, INC
April 2, 1985 - April 19, 1986
CETERA WEALTH SERVICES, LLC
October 8, 1984 - February 2, 2024
PETERSEN HASTINGS WEALTH ADVISORS, INC.
April 27, 1982 - August 22, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
May 19, 1976 - April 1, 1981
SYMETRA SECURITIES, INC.
July 2, 1975 - June 24, 1976
E. F. HUTTON & COMPANY INC
December 11, 1969 - August 5, 1975
SHEARSON HAYDEN STONE 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
Series 1
Date: 12/8/1969
Registered Representative ExaminationCurrent Firm
TRUSTMONT FINANCIAL GROUP, INC.
CRD#: 18312 / SEC#: , 8-36439
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOCHINEZ, LACEY M | OWNER | 5809867 |
| DOCHINEZ, PETER DANIEL | OWNER | 6314091 |
| ABBOTT DECAROLIS, LAURA JEAN | OWNER/REGISTERED REPRESENTATIVE | 1523919 |
| DOCHINEZ, CLAUDIA ANN | OWNER | |
| DOCHINEZ, PETER DANIEL | OWNER | 1062112 |
| GIONTA, PAUL V | OWNER | |
| HEBERT, GEORGE PHILLIP | OWNER | 2309032 |
| HLADEK, ANTHONY CHARLES | PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATION OFFICER | 2700432 |
| PETRUCCI, MARY LOUISE | OWNER/REGISTERED REPRESENTATIVE | 2980671 |
| AULT, JAMES DANIEL | OWNER | 1439447 |
| BARZAK, DONALD JOHN | OWNER | 1856590 |
| HIXENBAUGH, MARY LYNNE | CHIEF COMPLIANCE OFFICER | 5623080 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
