Roy H. Kasten
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.
Roy Harris Kasten was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 2015. Roy had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2017 - May 23, 2023
EQUITYZEN SECURITIES LLC
October 23, 2015 - May 22, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2015 - May 22, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 2015 - September 29, 2015
LEGEND SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
EQUITYZEN SECURITIES LLC
CRD#: 281820 / SEC#: , 8-69689
Contact information
FINRA licenses (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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