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JR

Jennifer J. Roller

Some features on this profile are disabled
CRD#: 719903
JR

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.

Jennifer Johnson Roller, who also goes by Jennifer Johnson, Jennifer Johnsonroller, was a registered financial professional .

Jennifer is a previously registered financial professional and started their career in finance in 1980. Jennifer had worked at 14 firms and has passed the Series 66, Series 31, Series 7, Series 9, Series 10 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jennifer Johnson | Jennifer Johnsonroller

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

January 31, 2013 - November 20, 2013

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
ESCONDIDO, CA
Past

September 10, 2009 - December 31, 2012

CENTURION INSTITUTIONAL SERVICES, INC.

BD
CRD#: 33531
ESCONDIDO, CA
Past

May 16, 2008 - May 22, 2008

XNERGY FINANCIAL LLC

BD
CRD#: 144436
LOS ANGELES, CA
Past

April 2, 2007 - March 12, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
RANCHO SANTE FE, CA
Past

April 2, 2007 - March 12, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
RANCHO SANTE FE, CA
Past

January 3, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
RANCHO SANTE FE, CA
Past

September 5, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
RANCHO SANTE FE, CA
Past

March 20, 2006 - September 6, 2006

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
SAN DIEGO, CA
Past

July 12, 2002 - April 27, 2006

COINBASE CAPITAL MARKETS CORP

BD
CRD#: 10722
NEW YORK, NY
Past

December 4, 2000 - November 26, 2001

SECU BROKERAGE SERVICES

BD
CRD#: 19899
RALEIGH, NC
Past

April 6, 1999 - November 30, 2000

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

January 4, 1999 - April 1, 1999

JWGENESIS FINANCIAL GROUP, INC

BD
CRD#: 38166
BOCA RATON, FL
Past

August 8, 1997 - January 4, 1999

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past

May 13, 1988 - August 22, 1997

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

October 30, 1987 - June 7, 1988

THOMAS GREEN SECURITIES, INC.

BD
CRD#: 571
Past

November 25, 1980 - November 6, 1987

SAN DIEGO SECURITIES INCORPORATED

BD
CRD#: 4136

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
IAR
Series 66
Date: 10/6/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 10/23/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/25/2006
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/11/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/22/1998
General Securities Principal Examination

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

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