Roger D. Kramer
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 Delano Kramer, who also goes by Roger D Kramer, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1976. Roger had worked at 7 firms and has passed the Series 63, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2007 - May 30, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 19, 1997 - June 7, 2007
MUTUAL SERVICE CORPORATION
July 22, 1991 - June 18, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 3, 1988 - November 16, 1989
CADARET, GRANT & CO., INC.
January 14, 1988 - November 16, 1988
FOCUS SECURITIES, INC.
January 5, 1987 - January 23, 1988
INVESTORS BROKERAGE SERVICES, INC.
December 2, 1986 - December 26, 1986
PW SECURITIES, INC.
April 1, 1976 - January 1, 1978
MUTUAL OF OMAHA INVESTOR SERVICES, 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 1
Date: 3/27/1976
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
