Roland P. Wauthier
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.
Roland P Wauthier was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 1977. Roland had worked at 8 firms and has passed the SIE 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
November 16, 2017 - December 31, 2019
SECURITIES AMERICA, INC.
March 31, 2006 - November 20, 2017
NATIONAL PLANNING CORPORATION
July 8, 2000 - April 3, 2006
OSAIC FS, INC.
November 17, 1988 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
May 20, 1988 - November 28, 1988
J. T. MORAN & CO., INC.
February 24, 1988 - May 20, 1988
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
January 24, 1985 - December 31, 1987
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
August 2, 1977 - December 7, 1984
SIGNATOR INVESTORS, INC.
August 2, 1977 - March 17, 1988
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
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: 7/28/1977
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
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