Roger Chutter
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.
Roger Chutter was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1966. Roger had worked at 8 firms and has passed the Series 63, SIE, Series 5, Series 15, PC, Series 1, Series 000, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2005 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 10, 2002 - February 28, 2005
MORGAN STANLEY DW INC.
July 15, 1994 - August 29, 2005
MORGAN STANLEY DW INC.
August 25, 1989 - July 19, 1994
PRUDENTIAL EQUITY GROUP, LLC
January 28, 1983 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
September 26, 1978 - February 19, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 1971 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
February 3, 1971 - March 16, 1971
E. F. HUTTON & COMPANY INC
December 6, 1966 - April 22, 1971
GOODBODY & CO. INCORPORATED
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 5
Date: 12/3/1984
Interest Rate Options ExaminationSeries 15
Date: 9/7/1983
Foreign Currency Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 12/5/1966
Registered Representative ExaminationSeries 000
Date: 5/5/1966
General Securities Principal ExaminationSeries 12
Date: 12/15/1969
NYSE Branch Manager ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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