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RR

Romnie E. Rolon

Some features on this profile are disabled
CRD#: 4346105
RR

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

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 28, 2004 - January 19, 2005

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

January 6, 2004 - July 23, 2004

GRANITE ASSOCIATES, INC

BD
CRD#: 46682
DELRAY BEACH, FL
Past

April 21, 2003 - January 21, 2004

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

September 23, 2002 - May 20, 2003

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY
Past

June 6, 2002 - September 27, 2002

KSH INVESTMENT GROUP, INC.

BD
CRD#: 41817
GREAT NECK, NY
Past

April 11, 2001 - June 11, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/26/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/10/2001
General Securities Representative Examination

Current Firm

SB
S.W. BACH & COMPANY
A.T. MOORE SECURITIES, INC. | S.W. BACH & COMPANY | MOORE SECURITIES INC.

CRD#: 43522 / SEC#: , 8-50298

BD
Terminated by SEC on 04/24/2007
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 06/16/1997
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
J.A.S. MANAGEMENT CORPSOLE SHAREHOLDER
GOODE, JACQUELINE MARIEAML OFFICER1292607
GOODE, JACQUELINE MARIECHIEF COMPLIANCE OFFICER1292607
MOLLICA, MICHELLESROP2547543
MOLLICA, MICHELLECROP2547543
SHAPIRO, BARRY EVANCFO/FINOP2623250
SHAPIRO, SCOTT ALLANPRESIDENT, CEO2687108

Disclosures

Regulatory Event2
Arbitration2

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.

Company Information

S.W. BACH & COMPANY

CRD#: 43522

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