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RD

Roger M. Dail

Some features on this profile are disabled
CRD#: 3049554
RD

Professional summary

Roger Martin Dail was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Roger is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Roger had worked at 1 firm, which includes CONTINENTAL BROKER-DEALER CORP..

top-8-questions

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.

Blog Corner

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®
None

Experience

Past

April 15, 2002 - July 8, 2002

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

May 15, 1998 - March 29, 2000

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY

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
RR
Series 63
Date: 5/29/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/14/1998
General Securities Representative Examination

Current Firm

CB
CONTINENTAL BROKER-DEALER CORP.
ACTIVE TRADING NETWORK | OPTION TRADING NETWORK | GLOBAL FINANCIAL NETWORK | CONTINENTAL BROKER-DEALER CORP. | CONTINENTAL BROKER DEALER CORP.

CRD#: 14048 / SEC#: , 8-43159

BD
Terminated by SEC on 04/09/2004
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/26/1982
Firm type
Corporation
Fiscal year end
October
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GREGORY M HASHO VOTING TRUSTGREGORY M HASHO VOTING TRUST
CHANDY, LIZY ELIZABETHASSISTANT DIRECTOR OF COMPLIANCE / CROP / SROP
HASHO, GREGORY MUMTAZSOLE BENEFICIARY OF THE GREGORY M. HASHO VOTING TRUST DATED 11/21/1995

Disclosures

Regulatory Event12
Arbitration15

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.

Company Information

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

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