Roxanne Perez Hussong
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.
Roxanne Perez Hussong, who also goes by Roxanne Perez Hale, Roxanne Hale, Roxanne Perez Hussong, Roxanne Hussong, Roxanne Hussong Perez, Roxanne Perez, was a registered financial professional .
Roxanne is a previously registered financial professional and started their career in finance in 1996. Roxanne had worked at 17 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2017 - July 19, 2017
SGMA CAPITAL MARKETS LIMITED
February 14, 2017 - April 18, 2017
FORESTERS FINANCIAL SERVICES, INC.
October 27, 2014 - January 8, 2016
OSAIC SERVICES, INC.
July 25, 2014 - November 12, 2014
J.P. MORGAN SECURITIES LLC
July 19, 2012 - September 28, 2012
WELLS FARGO CLEARING SERVICES, LLC
April 23, 2012 - September 28, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 7, 2011 - November 17, 2011
LPL FINANCIAL LLC
November 9, 2010 - March 22, 2011
FIRST ALLIED SECURITIES, INC.
August 19, 2008 - April 27, 2010
FIRST ALLIED SECURITIES, INC.
April 25, 2008 - May 12, 2008
WBB SECURITIES, LLC
November 15, 2007 - February 29, 2008
COMMONWEALTH FINANCIAL NETWORK
October 8, 2002 - October 18, 2007
FOSTER SECURITIES
April 22, 2001 - October 9, 2002
FSC SECURITIES CORPORATION
November 29, 2000 - December 22, 2000
CITIGROUP GLOBAL MARKETS INC.
July 23, 1999 - November 2, 2000
TORREY PINES SECURITIES, INC.
September 29, 1998 - March 9, 1999
PRUDENTIAL EQUITY GROUP, LLC
October 27, 1997 - September 22, 1998
TORREY PINES SECURITIES, INC.
January 16, 1997 - October 16, 1997
PCH SECURITIES, INC.
April 17, 1996 - May 9, 1996
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
February 29, 1996 - April 12, 1996
SPELMAN & CO., INC.
February 28, 1996 - April 12, 1996
SPELMAN & CO., 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
SGMA CAPITAL MARKETS LIMITED
CRD#: 135327 / SEC#: , 8-66911
Contact information
FINRA licenses (7 States and Territories)
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.
