Roger E. Gallegos
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 Eduardo Gallegos, who also goes by Rog Gallegos, Roger Gallegos, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 2019. Roger had worked at 2 firms and has passed the Series 63, SIE and Series 6TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2020 - October 15, 2020
KEEL POINT CAPITAL, LLC
May 8, 2019 - February 11, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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 6TO
Date: 5/8/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
KEEL POINT CAPITAL, LLC
CRD#: 6769 / SEC#: , 8-22990
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
Red Flags
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