Roger A. Sandau
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 Allen Sandau, who also goes by Roger Sandau, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 2008. Roger had worked at 3 firms and has passed the Series 66 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
November 15, 2010 - December 13, 2012
RAS CAPITAL ADVISORS, LLC
June 1, 2009 - December 13, 2010
MORGAN STANLEY
June 1, 2009 - December 13, 2010
MORGAN STANLEY
September 30, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 5, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
RAS CAPITAL ADVISORS, LLC
CRD#: 154594 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
