Juan F. Roig
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.
Juan Francisco Roig, who also goes by Frank Roig, Juan Roig, was a registered financial professional .
Juan is a previously registered financial professional and started their career in finance in 1995. Juan had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2011 - February 13, 2012
BUCKMAN, BUCKMAN & REID, INC.
June 4, 2009 - November 10, 2009
M BARC INVESTMENT GROUP, INC.
May 7, 2009 - June 17, 2009
DAWSON JAMES SECURITIES, INC.
February 20, 2009 - April 30, 2009
CHICAGO INVESTMENT GROUP, LLC
February 6, 2007 - March 24, 2009
WESTPARK CAPITAL, INC.
September 13, 2002 - February 23, 2005
J.P. TURNER & COMPANY, L.L.C.
July 6, 2001 - September 30, 2002
CAPITAL GROWTH FINANCIAL, LLC
March 2, 2001 - July 6, 2001
DALTON KENT SECURITIES GROUP, INC.
September 25, 2000 - March 15, 2001
LADENBURG THALMANN & CO. INC.
April 30, 1999 - September 29, 2000
TRADE.COM ONLINE SECURITIES, INC.
December 7, 1998 - April 14, 1999
JWGENESIS SECURITIES, INC.
June 6, 1995 - December 23, 1998
GRUNTAL & CO., L.L.C.
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
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
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.
