RK
Roger K. Kraus
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CRD#: 275101
RK
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 Kent Kraus was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1972. Roger had worked at 5 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
March 14, 2008 - December 31, 2016
MOLONEY SECURITIES CO., INC.
BD
CRD#: 38535
MANCHESTER, MO
Past
November 19, 2007 - March 5, 2008
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
CHESTERFIELD, MO
Past
April 1, 1986 - November 27, 2007
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EUREKA, MO
Past
April 3, 1984 - April 7, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
August 17, 1972 - January 14, 1987
GENERAL AMERICAN LIFE INSURANCE COMPANY
BD
CRD#: 3963
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/12/1972
Registered Representative ExaminationCurrent Firm
MS
MOLONEY SECURITIES CO., INC.
ADVANCED FINANCIAL SOLUTIONS, LLC | WESTPORT ADVISORY GROUP | WARREN FINANCIAL SERVICES | VANCE CAPITAL | THE RESOURCE PARTNERS GROUP | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SYNERGISTIC FINANCIAL | SUGAR CREEK INVESTMENT ADVISORY GROUP, LLC | STERLING CAPITAL MANAGEMENT | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT, INC. | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SECURUS SENIOR PLANNING SOLUTIONS, LLC | SECURUS | SAT WEALTH MANAGEMENT LLC | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH GROUP | ROYAL ROUTE COMPANY LLC | PROFESSIONAL INVESTMENT MANAGEMENT | PLANNED INVESTMENT CO INC | NMG FINANCIAL SERVICES | NET STREET BROKERAGE | MOSECO ASSET MANAGEMENT | MONETARY MANAGEMENT GROUP, INC. | MOLONEY SECURITIES CO., INC. | MOLONEY SECURITIES ASSET MANAGEMENT | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, INC. | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JIM RAIA INVESTMENT GROUP | JCL CAPITAL MANAGEMENT, LLC | JCL CAPITAL MANAGEMENT | INVESTMENT CENTER OF TOMAHAWK | INVESTMENT CENTER OF ESTES PARK, INC. | INVESTMENT CENTER OF ESTES PARK | INVESTMENT CENTER | HERITAGE INVESTMENT MANAGEMENT, LLP | HERITAGE INVESTMENT MANAGEMENT LLP | GRAND GLAIZE WEALTH MANAGEMENT | GENE PANASENKO, INC. | FIRST MID AMERICA, INC. | EVERHART WEALTH MANAGEMENT LLC | CP WEALTH | CORRIGAN-JONES INVESTMENT ADVISORS | CHRISTIANSON FINANCIAL ADVISORS, LLC | CHANEY & ASSOCIATES | CANDICE MONTIE INSURANCE & INVESTMENTS | C&A FINANCIAL ADVISORS | BRIDGES FINANCIAL ASSOCIATES, INC. | BRIDGES FINANCIAL ASSOCIATES | ATLANTIC SENIOR ADVISORS LLC | ASSET ALLIANCE FINANCIAL | ARTISAN ASSET MANAGEMENT, LLC | ARTISAN ASSET MANAGEMENT | ARLINGTON FINANCIAL SERVICES
CRD#: 38535 / SEC#: 801-64722, 8-48326
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
13537 Barrett Parkway Drive Suite 300, Manchester, MO 63021
Mailing Address
13537 Barrett Parkway Drive #300, Manchester, MO 63021
Phone number
(314) 909-0600
Established
Missouri since 05/03/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIAR GREEN HOLDINGS, INC. | OWNER | |
| CORRIGAN, BRIAN PATRICK | INVESTOR/DIRECTOR | 4258969 |
| HANCOCK, DONALD RALPH | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN | 828811 |
| HOLOWATUK, WILLIAM JAMES | DIRECTOR OF COMPLIANCE | 6107023 |
| HUME, SCOTT ALLEN | INVESTOR/DIRECTOR | 2894512 |
| MEDLEY, JOSEPH RONALD JR | INVESTOR/DIRECTOR | 2619119 |
| MOLONEY, EDWARD JOHN JR | PRESIDENT, OFFICER/DIRECTOR | 3188341 |
| ROSEMAN, JEFFREY PATRICK | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP | 6296481 |
| STEEL, GEORGE DONALD | INVESTOR/DIRECTOR | 716992 |
| WIESER, RYAN MATHEW | VICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR | 4940639 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
