Roger A. Vigar
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 Andrew Vigar, who also goes by Andy VIgar, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1994. Roger had worked at 7 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2022 - October 2, 2023
TRANSAMERICA CAPITAL, LLC
March 6, 2017 - August 16, 2022
BRIGHTHOUSE SECURITIES, LLC
June 30, 2016 - March 6, 2017
METLIFE INVESTORS DISTRIBUTION COMPANY
April 29, 2014 - June 30, 2016
MSI FINANCIAL SERVICES, INC.
January 25, 2011 - March 13, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
February 28, 2008 - December 31, 2008
HIMCO DISTRIBUTION SERVICES COMPANY
December 21, 2000 - August 17, 2001
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 24, 1994 - December 31, 2000
NATIONWIDE SECURITIES, LLC
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
TRANSAMERICA CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | |
| ACKERMAN, TIMOTHY LEON | DIRECTOR | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CARNEY, ROBERT DONALD | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | 6747924 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 3 |
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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