Roger W. Spillmann
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 Wa Spillmann was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1998. Roger had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2001 - May 14, 2004
SOURCE CAPITAL GROUP, INC.
August 17, 2001 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
April 18, 2000 - August 13, 2001
PRUDENTIAL EQUITY GROUP, LLC
January 20, 1998 - April 3, 2000
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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