Paul A. Roskowski
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.
Paul Allan Roskowski was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1979. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 1994 - September 17, 2001
J. B. HANAUER & CO.
February 11, 1992 - April 29, 1999
REUTERS TRANSACTION SERVICES LLC
February 12, 1991 - September 6, 1991
JESUP & LAMONT SECURITIES CO., INC.
February 8, 1991 - June 3, 1994
KC MAY SECURITIES CORP.
May 24, 1985 - December 14, 1989
BAER & COMPANY, INCORPORATED
May 24, 1985 - January 3, 1991
REUTERS TRANSACTION SERVICES LLC
January 2, 1979 - October 11, 1983
MARTIN SIMPSON & COMPANY, 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 8
Date: 5/7/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J. B. HANAUER & CO.
CRD#: 6958 / SEC#: , 8-18884
Contact information
Documents
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 | 7 |
| Civil Event | 1 |
| Arbitration | 12 |
| Bond | 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.
