Roger F. Mcmahon
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 Fowler Mcmahon was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1980. Roger had worked at 8 firms and has passed the Series 63, Series 3, Series 52, Series 24, Series 54FN and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 1997 - April 29, 1997
ARJENT LTD.
February 9, 1990 - February 1, 1995
SANWA UNIVERSAL SECURITIES CO., LLC
February 9, 1990 - February 1, 1995
SANWA SECURITIES (USA) CO., L.P.
October 11, 1989 - February 13, 1990
CM&M FUTURES INC.
October 11, 1989 - February 13, 1990
HSBC SECURITIES (USA) INC.
November 12, 1987 - March 7, 1988
PRINTON, KANE GOVERNMENT SECURITIES, INC.
May 2, 1984 - February 18, 1986
FINANCIAL CLEARING & SERVICES CORPORATION
July 10, 1980 - June 20, 1983
HSBC BROKERAGE (USA) 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 54FN
Date: 12/29/1981
Municipal Securities Financial and Operations Principal ExaminationCurrent Firm
ARJENT LTD.
CRD#: 35909 / SEC#: , 8-46922
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARJENT SERVICES LIMITED (UK) | OWNER | |
| DAVANZO, GEORGE | FINOP/CFO | 1866674 |
| DEPALO, ROBERT PHILIP | CHAIRMAN/CEO/SECY/CORP. DIRECTOR | 2946313 |
| DIFIORE, MONICA LISA | CCO | 2966552 |
| FALLAH, ROBERT BOBAK | CO-CHAIRMAN/PRESIDENT/DIRECTOR CORPORATE FINANCE | 1069032 |
| HEINEMAN, RONALD MARK | MANAGING DIRECTOR/CROP/SROP/MUNI PRINCIPAL | 241924 |
| SCHONWALD, GARY ALAN | TREASURER/CORPORATE DIRECTOR | 4478897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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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