Stephen G. Rokoszewski
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.
Stephen Gilbert Rokoszewski, who also goes by Stephen Roko, Steve Roko, Steve Rokoszewski, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1998. Stephen had worked at 7 firms and has passed the Series 65, Series 63, SIE, 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
September 14, 2020 - February 21, 2023
STRATCAP SECURITIES, LLC
November 28, 2017 - September 3, 2019
COMPASS SECURITIES CORPORATION
May 27, 2015 - December 2, 2015
STRATCAP SECURITIES, LLC
April 7, 2009 - December 9, 2015
REALTY CAPITAL SECURITIES, LLC
January 27, 2006 - February 27, 2009
KBS CAPITAL MARKETS GROUP LLC
December 11, 2004 - October 28, 2005
METLIFE INVESTORS DISTRIBUTION COMPANY
March 14, 2001 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
August 10, 1998 - March 13, 2001
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STRATCAP SECURITIES, LLC
CRD#: 151152 / SEC#: , 8-68338
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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