Roger T. Turley
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 Thomas Turley was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 2008. Roger had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2013 - November 4, 2013
FRED ALGER & COMPANY, LLC
March 31, 2011 - September 11, 2013
EQUITABLE DISTRIBUTORS, LLC
May 28, 2010 - February 1, 2011
EQUITABLE DISTRIBUTORS, LLC
October 29, 2009 - June 3, 2010
CHASE INVESTMENT SERVICES CORP.
November 19, 2008 - November 2, 2009
MSI FINANCIAL SERVICES, 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
Current Firm
FRED ALGER & COMPANY, LLC
CRD#: 5300 / SEC#: , 8-15900
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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.
