Roger L. Parsons
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 Lee Parsons was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1968. Roger had worked at 4 firms and has passed the Series 63, Series 15, Series 1, Series 4, Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 1990 - December 31, 1992
MULTIPLAN INVESTMENTS, INC.
March 9, 1978 - September 21, 1990
COLUMBUS EQUITIES INTERNATIONAL, INC.
June 13, 1977 - January 18, 1978
DALEY & COMPANY
July 22, 1968 - July 4, 1977
J.C. BRADFORD & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 7/1/1986
Foreign Currency Options ExaminationSeries 1
Date: 7/13/1968
Registered Representative ExaminationSeries 40
Date: 10/13/1977
Registered Principal ExaminationF04
Date: 9/22/1977
Financial Principal ExaminationCurrent Firm
MULTIPLAN INVESTMENTS, INC.
CRD#: 16890 / SEC#: , 8-34664
Contact information
Documents
Red Flags
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