Roger Grieco
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 Grieco 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
January 28, 2004 - April 28, 2004
ATLAS CAPITAL SERVICES, LLC
April 18, 2002 - January 21, 2004
NEW ENGLAND SECURITIES
June 5, 2001 - April 17, 2002
CARLIN EQUITIES, LLC
November 3, 1998 - April 24, 2001
LADENBURG CAPITAL MANAGEMENT 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
Current Firm
ATLAS CAPITAL SERVICES, LLC
CRD#: 103935 / SEC#: , 8-52395
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
