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RB

Roger E. Bendelac

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CRD#: 715445
RB

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 Emile Bendelac was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 1980. Roger had worked at 10 firms and has passed the Series 63, Series 15, Series 3, Series 5, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 21, 2005 - May 10, 2006

KUHNS BROTHERS SECURITIES CORPORATION

BD
CRD#: 47331
LIME ROCK, CT
Past

November 19, 2004 - December 8, 2004

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

September 10, 2002 - November 29, 2002

HARVEST CAPITAL INVESTMENTS LLC

BD
CRD#: 40367
VIENNA, VA
Past

February 8, 2000 - November 20, 2001

GLOBESHARE, INC.

BD
CRD#: 47746
NEW YORK, NY
Past

August 4, 1997 - November 19, 2002

LAIDLAW GLOBAL SECURITIES, INC.

BD
CRD#: 19018
NEW YORK, NY
Past

November 28, 1989 - July 30, 1997

WESTMINSTER SECURITIES CORPORATION

BD
CRD#: 6105
NEW YORK, NY
Past

July 13, 1988 - September 20, 1989

FIRST SWISS INTERNATIONAL SECURITIES CORPORATION

BD
CRD#: 7958
Past

July 1, 1987 - December 1, 1987

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

June 14, 1985 - June 3, 1987

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

September 23, 1980 - June 28, 1985

CIBC WORLD MARKETS CORP.

BD
CRD#: 630

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/6/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 15
Date: 8/27/1985
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 3
Date: 3/20/1984
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 10/12/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/17/1998
General Securities Principal Examination

Current Firm

KB
KUHNS BROTHERS SECURITIES CORPORATION
KUHNS BROTHERS SECURITIES CORPORATION

CRD#: 47331 / SEC#: , 8-51748

BD
Terminated by SEC on 02/04/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/15/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KUHNS BROTHERS, INC.PARENT COMPANY
BLOCH, HARRY NATHANIEL IIFINOP23688
KUHNS, JOHN DOUGLASCHAIRMAN/CEO851444
NORTH, THADDEUS JAMESCHIEF COMPLIANCE OFFICER2100909

Disclosures

Regulatory Event6

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.

Company Information

KUHNS BROTHERS SECURITIES CORPORATION

CRD#: 47331

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