Roger P. Smith
Professional summary
Roger Paul Smith, who also goes by Roger Smith, is a registered financial professional currently at G1 EXECUTION SERVICES, LLC located in Bala Cynwyd, Pennsylvania.
Roger is registered as a RR (Registered Representative) and started their career in finance in 1999. Roger has worked at 2 firms and has passed the Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger Paul Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 22, 2014 - Present
G1 EXECUTION SERVICES, LLC
Office #1: 401 City Ave Suite 220, Bala Cynwyd, PA 19004January 31, 2005 - September 22, 2014
SAL EQUITY TRADING, GP
January 21, 1999 - November 19, 2001
SAL EQUITY TRADING, GP
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/21/2005
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
Current Firm
G1 EXECUTION SERVICES, LLC
CRD#: 111528 / SEC#: , 8-53174
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 34 |
| Civil Event | 1 |
Red Flags
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