Roger J. Lindsey
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 James Lindsey was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1967. Roger had worked at 12 firms and has passed the Series 63, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2005 - October 19, 2006
WORLD GROUP SECURITIES, INC.
April 12, 2002 - December 31, 2004
WORLD GROUP SECURITIES, INC.
May 8, 2001 - April 12, 2002
WMA SECURITIES, INC.
February 6, 1997 - February 6, 2001
WMA SECURITIES, INC.
September 19, 1994 - December 19, 1996
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 6, 1994 - October 21, 1994
WMA SECURITIES, INC.
April 1, 1991 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 8, 1988 - April 1, 1991
PW SECURITIES, INC.
October 6, 1987 - November 19, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
October 21, 1986 - November 25, 1987
PFS INVESTMENTS INC.
March 3, 1978 - July 30, 1980
INDEPENDENT FINANCIAL PLANNERS CORPORATION
June 24, 1974 - April 4, 1978
INVESTMENT DEALERS INC.
October 30, 1972 - August 1, 1974
AMERICAN EXPRESS FINANCIAL CORPORATION
October 30, 1972 - August 1, 1974
IDS LIFE INSURANCE COMPANY
October 6, 1967 - January 18, 1971
THE INVESTAMERICA GROUP 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
Series 1
Date: 10/3/1967
Registered Representative ExaminationCurrent Firm
WORLD GROUP SECURITIES, INC.
CRD#: 114473 / SEC#: , 8-53428
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGON ASSET MANAGEMENT SERVICES, INC. | SHAREHOLDER | |
| BOUDOURIS, JAMES PETER | MUNICIPAL SECURITIES PRINCIPAL | 2050302 |
| CARPENTER, TODD ANDREW | CHIEF SUPERVISORY OFFICER | 3125437 |
| DAVIES, SUSAN E. | DIRECTOR | 4718249 |
| DODSON, PATTY JEAN | ASSISTANT VICE PRESIDENT | 1925182 |
| JOSEPH, JOHN WARREN | CHIEF MARKETING OFFICER | 4494872 |
| LINDER, JACK DARRELL | DIRECTOR | 1015860 |
| MILLER, SETH DAVID | PRESIDENT | 5628646 |
| MINECK, PAUL D. | DIRECTOR | 4528075 |
| MOATE, NANCY ANN | VICE PRESIDENT/TREASURER/CHIEF FINANCIAL OFFICER | 2422381 |
| MURSHEDI, AEYSHA K | VICE PRESIDENT & CHIEF OPERATIONS OFFICER | 2530869 |
| TRIVERS, DAN SHANE | VICE-PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | 1948553 |
| VERMILLION, DERRICK WADE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF AML OFFICER | 3213279 |
Disclosures
| Regulatory Event | 10 |
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.
