Roger E. Wolfe
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 Edward Wolfe was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1995. Roger had worked at 7 firms and has passed the Series 63, Series 7, Series 52 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2007 - September 27, 2012
GOLDEN BENEFICIAL SECURITIES CORPORATION
June 9, 2000 - May 29, 2007
ELECTRONIC ACCESS DIRECT, INC.
November 12, 1999 - June 12, 2000
ALLEN DOUGLAS SECURITIES, INC.
June 8, 1999 - October 5, 1999
THE CONCORD EQUITY GROUP, LLC
November 18, 1998 - June 8, 1999
BARRON CHASE SECURITIES, INC.
March 11, 1996 - December 22, 1998
SOUTHERN FINANCIAL GROUP, INC.
September 13, 1995 - April 3, 1996
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GOLDEN BENEFICIAL SECURITIES CORPORATION
CRD#: 48029 / SEC#: , 8-52010
Contact information
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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