Roger S. Dalen
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 Seymour Dalen was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1974. Roger had worked at 7 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 14, Series 24, Series 53, Series 27, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2008 - March 20, 2023
MAINLINE WEST MUNICIPAL SECURITIES LLC
April 23, 2001 - August 1, 2007
MOUNTAINVIEW SECURITIES, LLC
August 22, 1995 - January 11, 2001
AMERICUS INVESTMENT CORP.
February 12, 1992 - August 23, 1995
DOUGHERTY DAWKINS LLC
March 8, 1990 - January 6, 1992
GKB, INC.
January 17, 1984 - July 24, 1989
KIRCHNER, MOORE & CO. OF KANSAS, INC.
April 29, 1974 - March 19, 1990
DBLKM 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationF04
Date: 4/26/1974
Financial Principal ExaminationSeries 00
Date: 4/26/1974
General Securities Principal ExaminationCurrent Firm
MAINLINE WEST MUNICIPAL SECURITIES LLC
CRD#: 148020 / SEC#: , 8-67952
Contact information
FINRA licenses (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAINLINE CAPITAL LLC | MANAGING MEMBER/MEMBER | |
| CASELLI, ANTHONY SCOTT | CHIEF FINANCIAL OFFICER, FINOP & CCO | |
| KREIDLE, BRADLEY JAMES | PRESIDENT | 1755310 |
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.
