Roger H. Lipton
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 Howard Lipton was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1980. Roger had worked at 3 firms and has passed the Series 63, SIE, Series 18, Series 24, Series 8 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 1995 - February 10, 2015
AXIOM CAPITAL MANAGEMENT, INC.
September 17, 1981 - March 8, 1995
LADENBURG THALMANN & CO. INC.
December 22, 1980 - September 22, 1981
JOHN MUIR & CO.
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 18
Date: 12/20/1980
Securities Industry Rules and Regulations ExaminationSeries 8
Date: 12/27/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 7/19/1973
NYSE Branch Manager ExaminationCurrent Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
