Roger E. Torres
Professional summary
Roger Esteban Torres JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roger is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Roger had worked at 4 firms, which includes STERLING FINANCIAL INVESTMENT GROUP INC., THE BENCHMARK COMPANY LLC, THE BENCHMARK COMPANY INC., CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2001 - June 21, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
January 2, 2001 - June 4, 2001
THE BENCHMARK COMPANY, LLC
November 1, 1999 - December 31, 2000
THE BENCHMARK COMPANY, INC.
October 31, 1995 - November 16, 1999
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
STERLING FINANCIAL INVESTMENT GROUP, INC.
CRD#: 41506 / SEC#: , 8-49503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.) | COMPANY | |
| GARCIA, CHARLES PATRICK | CHIEF EXECUTIVE OFFICER | 2933864 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Red Flags
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