Roger S. West
Professional summary
Roger Seiker West III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roger is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Roger had worked at 3 firms, which includes HEIDTKE & COMPANY INC., BSI HOLDINGS INC., BROKERS EXCHANGE INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 1989 - August 24, 1990
HEIDTKE & COMPANY, INC.
August 15, 1983 - October 26, 1990
BSI HOLDINGS, INC.
April 23, 1980 - August 8, 1983
BROKERS EXCHANGE, INC.
State Registrations and Notice Filings
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Exams
Current Firm
HEIDTKE & COMPANY, INC.
CRD#: 13951 / SEC#: , 8-30055
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HEIDTKE, LYMAN OSCAR JR | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 241752 |
| SHELBY, DIANNE KIDD | SECRETARY |
Disclosures
| Regulatory Event | 7 |
Red Flags
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