Roger A. Rawlings
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 Anthony Rawlings was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1967. Roger had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 1, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2016 - November 16, 2016
NTB FINANCIAL CORPORATION
February 29, 2016 - November 16, 2016
NTB FINANCIAL CORPORATION
August 31, 2011 - June 22, 2015
NTB FINANCIAL CORPORATION
August 29, 2011 - June 22, 2015
NTB FINANCIAL CORPORATION
November 19, 2008 - August 2, 2011
WFG ADVISORS, LP
September 30, 2002 - November 18, 2008
WFG INVESTMENTS, INC.
August 30, 2002 - August 2, 2011
WFG INVESTMENTS, INC.
April 5, 2002 - August 21, 2002
SCHNEIDER SECURITIES, INC.
March 20, 2002 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
November 12, 1990 - March 31, 2000
D.E. FREY & COMPANY, INC.
August 21, 1967 - November 20, 1990
CITIGROUP GLOBAL MARKETS 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
Series 5
Date: 10/16/1981
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 8/17/1967
Registered Representative ExaminationCurrent Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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