Roger E. Horst
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 Eugene Horst was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1969. Roger had worked at 5 firms and has passed the Series 65, Series 63, Series 1 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
September 30, 2009 - December 26, 2023
HORST, ROGER EUGENE
August 2, 1988 - January 21, 2009
JOHNSTON, LEMON & CO. INCORPORATED
May 14, 1971 - April 27, 1976
PENNSYLVANIA EQUITIES CORPORATION
November 5, 1970 - August 10, 1988
INTERCOASTAL CAPITAL MARKETS, INC.
July 25, 1969 - May 14, 1971
GLENWOOD EQUITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 7/23/1969
Registered Representative ExaminationCurrent Firm
HORST, ROGER EUGENE
CRD#: 149458 / SEC#: 801-70196
Contact information
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 14,300,000 |
Red Flags
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