Joshua J. Rohauer
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.
Joshua James Rohauer was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2006. Joshua had worked at 2 firms and has passed the Series 63 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 31, 2014 - June 16, 2014
NATHAN HALE CAPITAL, LLC
September 7, 2006 - April 7, 2014
WELLS FARGO SECURITIES, 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
Current Firm
NATHAN HALE CAPITAL, LLC
CRD#: 123650 / SEC#: , 8-65603
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GALARPE, GARY CHRISTOPHER | CHIEF COMPLIANCE OFFICER/FIN-OP | 2384835 |
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.
