Roger L. 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 Lee Reynolds was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1971. Roger had worked at 5 firms and has passed the Series 65, Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 1993 - October 6, 1999
MARION BASS SECURITIES CORPORATION
March 1, 1988 - July 30, 1993
PRUDENTIAL EQUITY GROUP, LLC
February 15, 1988 - April 12, 1988
LEHMAN BROTHERS INC.
February 19, 1974 - February 15, 1988
E. F. HUTTON & COMPANY INC
December 22, 1971 - March 1, 1974
WACHOVIA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 12/13/1971
Registered Representative ExaminationCurrent Firm
MARION BASS SECURITIES CORPORATION
CRD#: 7961 / SEC#: , 8-23820
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 8 |
Red Flags
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