Alan D. Roggen
Professional summary
Alan Daniel Roggen is a registered financial professional currently at HEWLETT POINT SECURITIES, LLC located in Holiday, Florida.
Alan is registered as a RR (Registered Representative) and started their career in finance in 2021. Alan has worked at 1 firm and has passed the Series 65, Series 63, Series 7TO, Series 99TO, Series 79TO, Series 32, Series 7, SIE, Series 4, Series 24 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alan Daniel Roggen's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 28, 2021 - Present
HEWLETT POINT SECURITIES, LLC
Office #1: 3932 Baden Drive, Holiday, FL 34691State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/21/2021)
(5/24/2022)
(12/14/2021)
(11/3/2021)
(4/28/2022)
(7/30/2025)
(1/10/2022)
(11/9/2023)
(1/8/2022)
(1/24/2022)
(1/18/2022)
(1/4/2022)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 7/16/2020
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HEWLETT POINT SECURITIES, LLC
CRD#: 304127 / SEC#: , 8-70348
Contact information
FINRA licenses (15 States and Territories)
Documents
Red Flags
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