Gregory J. Roti
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.
Gregory Jude Roti, who also goes by Greg Jude Roti Mr., Gregory Jude Roti Mr., was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2009. Gregory had worked at 5 firms and has passed the Series 63, SIE 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
January 7, 2022 - November 1, 2023
JUMPSTART SECURITIES, LLC
July 10, 2012 - July 7, 2018
WELLS FARGO SECURITIES, LLC
June 24, 2011 - July 11, 2012
AXIOM CAPITAL MANAGEMENT, INC.
April 26, 2010 - March 31, 2011
SECURITIES NETWORK LLC
February 23, 2009 - October 6, 2009
GATEWAY INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JUMPSTART SECURITIES, LLC
CRD#: 156214 / SEC#: , 8-68773
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINOVATION SYSTEMS, LLC | MEMBER | |
| SELF, JONATHAN ANDREW | PRESIDENT, POO, PFO, AMLCO, CCO | 4497531 |
Disclosures
| Regulatory 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.
