Roger K. Meyer
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 Kendall Meyer was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1973. Roger had worked at 6 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 1990 - February 8, 1994
VESTAX SECURITIES CORPORATION
June 7, 1984 - January 10, 1990
VANDERBILT CAPITAL CORPORATION
November 23, 1977 - May 15, 1984
MARQUETTE FINANCIAL GROUP, INC.
May 1, 1973 - January 1, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
May 1, 1973 - January 1, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
April 27, 1973 - January 1, 1978
IDS LIFE INSURANCE COMPANY
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: 4/21/1973
Registered Representative ExaminationCurrent Firm
VESTAX SECURITIES CORPORATION
CRD#: 10332 / SEC#: , 8-27024
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VESTAX CAPITAL CORPORATION | SOLE SHAREHOLDER | |
| DUNSTAN, RICHARD VAUGHAN | MUNICIPAL PRINCIPAL | 1632092 |
| DUNSTAN, RICHARD VAUGHAN | SROP/CROP | 1632092 |
| HARRISON, BRETT LAMAR | COO, SENIOR VICE PRESIDENT | 4032238 |
| MCEVOY, PATRICK HENRY | PRESIDENT, CEO | 1796543 |
| RESSLER, SANDER JAMES | CCO | 1455553 |
| STEWART, EVERETT PAUL JR | CFO | 2025188 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
Red Flags
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