Sanford Roggenburg
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.
Sanford Roggenburg was a registered financial professional .
Sanford is a previously registered financial professional and started their career in finance in 1956. Sanford had worked at 9 firms and has passed the Series 63, Series 5, PC, Series 1, Series 000, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2005 - December 31, 2012
SUMMIT BROKERAGE SERVICES, INC.
January 2, 2001 - June 20, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 3, 1994 - January 2, 2001
JWGENESIS SECURITIES, INC.
December 5, 1989 - January 3, 1994
JW GENESIS CLEARING CORP.
June 25, 1984 - November 28, 1989
GRUNTAL & CO., L.L.C.
August 12, 1974 - December 15, 1974
EVANS & CO., INC.
December 19, 1973 - September 12, 1974
W. E. HUTTON & CO.
April 7, 1969 - February 5, 1974
NEWBURGER, LOEB & CO., INC.
October 29, 1956 - June 30, 1984
JII SECURITIES 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: 9/25/1981
Interest Rate Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 11/28/1956
Registered Representative ExaminationSeries 000
Date: 10/29/1956
General Securities Principal ExaminationSeries 12
Date: 4/11/1977
NYSE Branch Manager ExaminationSeries 40
Date: 3/28/1969
Registered Principal ExaminationCurrent Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
