Roark F. Siko
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.
Roark Francis Siko was a registered financial professional .
Roark is a previously registered financial professional and started their career in finance in 1998. Roark had worked at 4 firms and has passed the Series 63, Series 55 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
January 22, 2004 - February 15, 2012
ARCHIPELAGO TRADING SERVICES, INC.
August 16, 2002 - February 15, 2012
ARCHIPELAGO SECURITIES L.L.C.
September 23, 1999 - August 15, 2002
WAVE SECURITIES, LLC
September 9, 1998 - March 31, 1999
TERRA NOVA FINANCIAL, LLC
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 55
Date: 10/6/1999
Limited Representative-Equity Trader ExamCurrent Firm
ARCHIPELAGO TRADING SERVICES, INC.
CRD#: 15853 / SEC#: , 8-33180
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 5 |
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.
