Roland F. Ligart
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.
Roland Francis Ligart was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 1977. Roland had worked at 6 firms and has passed the Series 63, Series 5, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2003 - December 31, 2012
QUEST CAPITAL STRATEGIES, INC.
October 24, 1989 - December 31, 2002
THE INVESTMENT CENTER, INC.
April 2, 1985 - October 21, 1989
THOMSON MCKINNON SECURITIES INC.
January 31, 1980 - April 12, 1985
UBS FINANCIAL SERVICES INC.
October 6, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 13, 1977 - November 6, 1978
DERAND/PENNINGTON/BASS, 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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 8/3/1977
Registered Representative ExaminationCurrent Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
