Roger A. Cressman
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 Alan Cressman, who also goes by Roger A Cressman, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1994. Roger had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2007 - December 22, 2022
CRESSMAN INVESTMENT MANAGEMENT, L.L.C.
May 23, 2002 - December 17, 2002
CHARLES SCHWAB & CO., INC.
October 18, 1995 - June 6, 2005
CHARLES SCHWAB & CO., INC.
May 6, 1994 - November 3, 1995
PRUDENTIAL EQUITY GROUP, 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
CRESSMAN INVESTMENT MANAGEMENT, L.L.C.
CRD#: 143242 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 55 |
| AUM (Assets Under Management) | $ 13,614,001 |
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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