Roger Anderson
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 Anderson, who also goes by Roger Lee Anderson, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1972. Roger had worked at 7 firms and has passed the Series 63, Series 65, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2011 - December 31, 2011
ALLSTATE FINANCIAL SERVICES, LLC
April 24, 2008 - August 31, 2010
ALLSTATE FINANCIAL SERVICES, LLC
September 30, 2002 - July 10, 2007
HILLTOP SECURITIES INC.
January 5, 2000 - August 23, 2002
UBS FINANCIAL SERVICES INC.
August 2, 1993 - November 10, 1999
MORGAN STANLEY DW INC.
March 10, 1992 - August 13, 1993
WELLS FARGO CLEARING SERVICES, LLC
January 16, 1980 - March 12, 1992
ROBERT W. BAIRD & CO. INCORPORATED
December 20, 1972 - January 16, 1980
ROBERT W. BAIRD & CO. INCORPORATED
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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 10/4/1972
Registered Representative ExaminationSeries 8
Date: 8/24/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
