Andrew T. Roepe
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.
Andrew Thomas Roepe was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2003. Andrew had worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2009 - October 31, 2014
ROEPE ROSENFELD TRADING LLC
November 10, 2003 - December 21, 2009
ROEPE ROSENFELD TRADING 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
ROEPE ROSENFELD TRADING LLC
CRD#: 42793 / SEC#: , 8-49998
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
