Romnie E. Rolon
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.
Romnie Eduardo Rolon was a registered financial professional .
Romnie is a previously registered financial professional and started their career in finance in 2001. Romnie had worked at 6 firms and has passed the Series 63 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
July 28, 2004 - January 19, 2005
S.W. BACH & COMPANY
January 6, 2004 - July 23, 2004
GRANITE ASSOCIATES, INC
April 21, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
September 23, 2002 - May 20, 2003
HARRISON SECURITIES, INC.
June 6, 2002 - September 27, 2002
KSH INVESTMENT GROUP, INC.
April 11, 2001 - June 11, 2002
LADENBURG CAPITAL MANAGEMENT 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
Current Firm
S.W. BACH & COMPANY
CRD#: 43522 / SEC#: , 8-50298
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
