Roger M. Taft
Professional summary
Roger Malcolm Taft was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roger is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, Roger had worked at 28 firms, which includes INVESTORS ASSOCIATES INC., SCHNEIDER SECURITIES INC., SMITH BENTON & HUGHES INC., NTB FINANCIAL CORPORATION, MALONE & ASSOCIATES INC., ADAMS SECURITIES INC., KOBER FINANCIAL CORP., POWER SECURITIES CORPORATION, DONALD & CO. SECURITIES INC., BARRON CHASE SECURITIES INC., MARSHALL DAVIS INC., AMERICAN FRONTEER FINANCIAL CORPORATION, WACHOVIA SECURITIES INC., MOORE & SCHLEY CAMERON & CO., JOSEPHTHAL & CO. INC., EVANS & CO. INC., MOSTEL & TAYLOR SECURITIES INC., NIELSON AND CLARK INC., JSC SECURITIES INC., BUCKINGHAM SECURITIES LTD., VERRILLI ALTSCHULER SCHWARTZ INC., E. L. AARON & CO. INC., BLINDER ROBINSON & CO. INC., BERNARD HEROLD & CO. INC., EDWARDS & HANLY, PHOENIX SECURITIES CORP., CUSTODIAN SECURITY BROKERAGE CORP., ROBERT BIRCHFIELD CO INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 1993 - April 25, 1994
INVESTORS ASSOCIATES, INC.
August 2, 1991 - October 30, 1991
SCHNEIDER SECURITIES, INC.
May 9, 1991 - July 23, 1991
SMITH, BENTON & HUGHES, INC.
March 8, 1991 - April 16, 1991
NTB FINANCIAL CORPORATION
October 15, 1990 - February 25, 1991
MALONE & ASSOCIATES, INC.
March 15, 1990 - June 13, 1990
MALONE & ASSOCIATES, INC.
February 12, 1990 - March 21, 1990
ADAMS SECURITIES, INC.
March 2, 1989 - February 28, 1990
KOBER FINANCIAL CORP.
February 4, 1989 - February 28, 1989
POWER SECURITIES CORPORATION
January 26, 1989 - January 26, 1989
DONALD & CO. SECURITIES INC.
December 19, 1988 - January 21, 1989
BARRON CHASE SECURITIES, INC.
July 5, 1988 - December 16, 1988
KOBER FINANCIAL CORP.
March 18, 1988 - August 8, 1988
MARSHALL DAVIS, INC.
December 14, 1987 - March 17, 1988
AMERICAN FRONTEER FINANCIAL CORPORATION
August 24, 1987 - December 7, 1987
WACHOVIA SECURITIES, INC.
February 5, 1987 - August 10, 1987
MOORE & SCHLEY, CAMERON & CO.
July 18, 1986 - February 10, 1987
JOSEPHTHAL & CO., INC.
September 16, 1985 - February 12, 1986
EVANS & CO., INC.
May 8, 1985 - September 10, 1985
MOSTEL & TAYLOR SECURITIES INC.
February 13, 1985 - May 1, 1985
NIELSON AND CLARK INC.
September 12, 1984 - February 5, 1985
JSC SECURITIES, INC.
December 22, 1983 - January 14, 1986
BUCKINGHAM SECURITIES, LTD.
October 18, 1976 - May 21, 1977
VERRILLI ALTSCHULER SCHWARTZ INC.
June 2, 1975 - November 3, 1975
E. L. AARON & CO., INC.
March 1, 1974 - January 27, 1975
BLINDER, ROBINSON & CO., INC.
February 22, 1974 - April 2, 1974
BERNARD HEROLD & CO., INC.
March 19, 1973 - August 19, 1973
EDWARDS & HANLY
August 14, 1972 - April 29, 1973
PHOENIX SECURITIES CORP.
May 3, 1972 - September 21, 1972
CUSTODIAN SECURITY BROKERAGE CORP.
September 16, 1971 - June 16, 1972
ROBERT BIRCHFIELD CO 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 1
Date: 10/27/1967
Registered Representative ExaminationCurrent Firm
INVESTORS ASSOCIATES, INC.
CRD#: 958 / SEC#: , 8-15007
Contact information
Documents
Red Flags
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