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GR

Giovanny Rozo

FIRST BANKERS' BANC SECURITIES,
St Louis, MO 63131
Some features on this profile are disabled
CRD#: 5750628
GR

Professional summary

Giovanny Rozo, who also goes by Giovanny P Rozo, is a registered financial professional currently at FIRST BANKERS' BANC SECURITIES, INC located in St Louis, Missouri.

Giovanny is registered as a RR (Registered Representative) and started their career in finance in 2014. Giovanny has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Giovanny P Rozo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Giovanny Rozo's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 20, 2024 - Present

FIRST BANKERS' BANC SECURITIES, INC

Office #1: 1714 Deer Tracks Trail Suite110, St Louis, MO 63131
BD
CRD#: 15041
St Louis, MO
Past

March 17, 2015 - August 15, 2024

INTERCOASTAL CAPITAL MARKETS, INC.

BD
CRD#: 83
BOCA RATON, FL
Past

December 1, 2014 - March 13, 2015

R.M. STARK & CO., INC.

BD
CRD#: 7612
LAKE WORTH BEACH, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/27/2024)
RR
Connecticut
(3/25/2025)
RR
Florida
(8/20/2024)
RR
Kansas
(8/6/2025)
RR
Massachusetts
(8/20/2024)
RR
Minnesota
(8/6/2025)
RR
New York
(8/20/2024)
RR
Oregon
(8/20/2024)
RR
Texas
(8/20/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/19/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/1/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FB
FIRST BANKERS' BANC SECURITIES, INC
FIRST BANKERS' BANC SECURITIES, INC | FIRST ST. LOUIS SECURITIES, INC.

CRD#: 15041 / SEC#: , 8-31584

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
1714 Deer Tracks Trail, Suite 110, St. Louis, MO 63131
Mailing Address
1714 Deer Tracks Trail, Suite 110, St. Louis, MO 63131
Phone number
(314) 726-2880
Established
Missouri since 03/06/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BANKERS' BANC INVESTMENT SERVICES LLCSHAREHOLDER
HAEDIKE, CHRISTINE DCHIEF COMPLIANCE OFFICER2489703
SPELLMEYER, ARTHUR WILLIAM IVPRESIDENT/CEO4872597

Disclosures

Regulatory Event2

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.

Company Information

FIRST BANKERS' BANC SECURITIES, INC

CRD#: 15041St Louis, MO 63131

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