Roy J. Mikesh
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.
Roy James Mikesh was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 2001. Roy had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2015 - August 27, 2015
PURITAN BROKERAGE SERVICES, INC.
May 27, 2015 - August 27, 2015
PEAK AMERICAN INVESTMENT ADVISORS, INC.
September 6, 2012 - August 30, 2013
ALLSTATE FINANCIAL SERVICES, LLC
April 15, 2011 - December 20, 2011
ALLSTATE FINANCIAL SERVICES, LLC
November 5, 2010 - April 11, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 18, 2008 - June 23, 2009
NATIONWIDE SECURITIES, LLC
October 28, 2005 - July 28, 2006
NATIONWIDE SECURITIES, LLC
March 23, 2001 - October 5, 2005
AMERICAN FAMILY SECURITIES, 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
PURITAN BROKERAGE SERVICES, INC.
CRD#: 144445 / SEC#: , 8-67656
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PURITAN FINANCIAL COMPANIES | SHAREHOLDER | |
| MCDONALD, SONDRA S | PRESIDENT, CCO | 4269871 |
Red Flags
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