Edgar B. Roesch
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.
Edgar Burling Roesch III, who also goes by Edgar Burling Roesch, Edgar Burling Roesch III, was a registered financial professional .
Edgar is a previously registered financial professional and started their career in finance in 1999. Edgar had worked at 7 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2016 - February 25, 2019
SIDOTI & COMPANY, LLC
July 12, 2010 - May 20, 2015
NOMURA SECURITIES INTERNATIONAL, INC.
January 4, 2010 - June 15, 2010
CANTOR FITZGERALD & CO.
May 13, 2008 - December 7, 2009
SOLEIL SECURITIES CORPORATION
July 29, 2002 - February 28, 2008
BANC OF AMERICA SECURITIES LLC
February 28, 2002 - August 2, 2002
UBS SECURITIES LLC
July 10, 2000 - January 18, 2002
UBS SECURITIES LLC
December 8, 1999 - July 19, 2000
CREDIT SUISSE SECURITIES (USA) LLC
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
Current Firm
SIDOTI & COMPANY, LLC
CRD#: 102860 / SEC#: , 8-52141
Contact information
FINRA licenses (40 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
