Roger E. Nauheimer
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 Edwin Nauheimer, who also goes by Roger E Nauheimer, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1996. Roger had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2001 - August 30, 2002
MCGINN, SMITH & CO., INC.
June 9, 2000 - December 11, 2000
JONATHAN ROBERTS FINANCIAL GROUP, INC.
December 23, 1999 - April 25, 2000
FSC SECURITIES CORPORATION
June 18, 1999 - December 13, 1999
FSC SECURITIES CORPORATION
April 3, 1996 - November 18, 1997
PFS INVESTMENTS 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
MCGINN, SMITH & CO., INC.
CRD#: 8453 / SEC#: , 8-25374
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Arbitration | 5 |
| Bond | 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.
