Stuart R. Rogell
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.
Stuart Ray Rogell was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1979. Stuart had worked at 4 firms and has passed the Series 63, 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
February 28, 1986 - January 1, 1987
INTERNATIONAL SECURITIES GROUP, LTD.
September 19, 1984 - December 6, 1984
VANTAGE SECURITIES OF COLORADO, INC.
May 7, 1980 - June 18, 1984
BLINDER, ROBINSON & CO., INC.
December 21, 1979 - May 2, 1980
AMERICAN WESTERN SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INTERNATIONAL SECURITIES GROUP, LTD.
CRD#: 14499 / SEC#: , 8-30786
Contact information
Documents
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.
