Paul Allan Roskowski
Professional Summary
Paul Allan Roskowski was a registered financial advisor. Paul was a previously registered financial professional and started their career in finance 1979 - 2001. Paul had worked at 6 firms and has passed the Series 63, Series 7, Series 24, Series 14, Series 4, Series 8 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
HANAUER ADVISORS | J. B. HANAUER & CO.
Contact Information
Established
New Jersey since 04/30/1968Firm Type
CorporationFiscal Year End
MarchDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC CAPITAL MARKETS HOLDINGS (USA) INC. | DIRECT OWNER | — |
| BOARDMAN, MATTHEW MILES | DIRECTOR | 843666 |
| MANNA, VIRGINIA ANTONIETTA | CFO | 1128673 |
| PLIFKA, GREG | CHIEF OPERATING OFFICER | 1068803 |
| RINGEL, MARK ELLERY | CHIEF COMPLIANCE OFFICER | 1027629 |
| SCHMIDT, CHRISTOPHER PAUL | CROP/SROP | 1845098 |
| TAFT, JOHN GODFREY | DIRECTOR | 1007933 |
| ZUCKER, BARRY HUGH | PRESIDENT & CEO | 500545 |
Disclosures
Regulatory Event
7Civil Event
1Arbitration
12Bond
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed May 1991Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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