Roger E. Robson
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 Edward Robson was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1977. Roger had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2017 - June 4, 2018
CAPFINANCIAL SECURITIES, LLC.
August 16, 2017 - June 4, 2018
CAPTRUST
April 12, 2007 - December 31, 2017
CAPTRUST ADVISORS, LLC
June 15, 2002 - August 7, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 15, 2002 - August 7, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 7, 1998 - June 20, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
August 7, 1998 - June 15, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
January 15, 1991 - August 14, 1998
UBS FINANCIAL SERVICES INC.
October 30, 1989 - January 18, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 1978 - December 5, 1989
KIDDER, PEABODY & CO. INCORPORATED
November 14, 1977 - October 20, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 21, 1977 - December 12, 1977
REYNOLDS SECURITIES, 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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 8
Date: 8/1/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPFINANCIAL SECURITIES, LLC.
CRD#: 126291 / SEC#: , 8-65870
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | |
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
| Regulatory Event | 1 |
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.
