Rollin T. Schlichting
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.
Rollin Towne Schlichting, who also goes by Rollie Schlichting, was a registered financial professional .
Rollin is a previously registered financial professional and started their career in finance in 1996. Rollin had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2011 - December 31, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 21, 2011 - December 31, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 31, 2008 - October 5, 2011
OSAIC SERVICES, INC.
June 13, 2003 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
July 1, 2002 - June 9, 2003
THRIVENT INVESTMENT MANAGEMENT INC.
May 23, 1996 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
