Roger L. Riddle
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 Lynn Riddle, who also goes by Roger L Riddle, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1997. Roger had worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2004 - December 31, 2006
MILKIE/FERGUSON INVESTMENTS, INC.
September 8, 2003 - October 29, 2004
INSIGHT SECURITIES, INC.
February 2, 2000 - September 22, 2003
AVANTAX INVESTMENT SERVICES, INC.
June 9, 1997 - December 31, 1999
AVANTAX INVESTMENT SERVICES, INC.
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
MILKIE/FERGUSON INVESTMENTS, INC.
CRD#: 17606 / SEC#: , 8-36226
Contact information
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
