George C. Roeser
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.
George C Roeser was a registered financial advisor .
George is a previously registered financial advisor and started their career in finance in 2004. George had worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 3, Series 55 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
March 5, 2019 - April 15, 2019
TRADESTATION SECURITIES, INC.
February 7, 2018 - September 25, 2018
LADENBURG THALMANN & CO. INC.
May 10, 2017 - October 16, 2017
WEDBUSH SECURITIES INC.
October 17, 2011 - September 2, 2016
TRADESTATION SECURITIES, INC.
March 5, 2008 - July 16, 2008
GARGOYLE STRATEGIC INVESTMENTS L.L.C.
February 20, 2007 - August 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 2007 - August 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 27, 2004 - November 8, 2006
LABRANCHE & CO. 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
Series 55
Date: 1/14/2012
Limited Representative-Equity Trader ExamCurrent Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
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.
