Roger Small
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 Small, AIF® was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1996. Roger had worked at 1 firm and has passed the Series 65 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 1996 - August 6, 2024
CANON CAPITAL INVESTMENT ADVISORY
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
Series 2
Date: 3/19/1996
Non-Member General Securities ExaminationCurrent Firm
CANON CAPITAL INVESTMENT ADVISORY
CRD#: 109557 / SEC#: 801-56000
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,088 |
| AUM (Assets Under Management) | $ 210,454,391 |
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.
