Roger A. Reynolds
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 Aloysius Reynolds SR, who also goes by Roger Aloysius Reynolds, Roger Alysious Reynolds Sr, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1970. Roger had worked at 13 firms and has passed the Series 63, SIE, Series 5, Series 1, Series 4, Series 00 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 1999 - March 12, 2018
BOENNING & SCATTERGOOD, INC.
October 20, 1998 - November 12, 1999
ACUMENT SECURITIES, INC.
January 12, 1998 - September 9, 1998
NUVEEN SECURITIES, LLC
May 30, 1997 - November 4, 1997
HAVERFORD TRUST SECURITIES, INC.
May 11, 1995 - October 18, 1996
INVESTEC INC.
December 18, 1989 - May 11, 1995
FIRST UNION CAPITAL MARKETS CORP.
April 14, 1989 - December 22, 1989
PHILADELPHIA INVESTORS, LTD.
January 14, 1986 - May 26, 1989
LAVERELL, REYNOLDS SECURITIES, INC.
February 13, 1984 - January 7, 1986
THOMSON MCKINNON SECURITIES INC.
September 24, 1976 - February 9, 1984
ALEX. BROWN & SONS INCORPORATED
August 21, 1972 - October 23, 1976
SCHRODER & CO. INC.
June 17, 1971 - September 7, 1972
DREXEL FIRESTONE INCORPORATED
December 15, 1970 - July 2, 1971
BACHE & CO INCORPORATED
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: 1/19/1983
Interest Rate Options ExaminationSeries 1
Date: 12/6/1961
Registered Representative ExaminationSeries 00
Date: 12/7/1970
General Securities Principal ExaminationSeries 12
Date: 5/1/1968
NYSE Branch Manager ExaminationCurrent Firm
BOENNING & SCATTERGOOD, INC.
CRD#: 100 / SEC#: 801-68111, 8-15543
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOENNING & SCATTERGOOD HOLDINGS | HOLDING CO OF BOENNING & SCATTERGOOD INC | |
| MADDALONI, ANDREW MICHAEL | DIRECTOR | 2825865 |
| MARA, GEORGE MICHAEL JR | CHIEF COMPLIANCE OFFICER | 1574331 |
| MARA, GEORGE MICHAEL JR | PRESIDENT | 1574331 |
| SCATTERGOOD, HAROLD FRANCIS JR | DIRECTOR | 412133 |
| STANNARD, JEFFREY TAPPAN | DIRECTOR | 1337225 |
| WEIGAND, DALE ROBERT | DIRECTOR, CHIEF FINANCIAL OFFICER,FINOP | 1374549 |
Regulatory assets under management
| Total Number of Accounts | 1,321 |
| AUM (Assets Under Management) | $ 1,157,621,985 |
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 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.
