Roger A. Niccoli
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 Allen Niccoli was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1979. Roger had worked at 21 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2005 - October 14, 2015
FIRST BROKERAGE AMERICA, L.L.C.
May 16, 2001 - September 6, 2005
ATLAS SECURITIES, LLC
September 12, 2000 - March 16, 2001
RUMSON CAPITAL, LLC
December 22, 1999 - August 30, 2000
PROVIDENTIAL SECURITIES, INC.
October 14, 1999 - November 29, 1999
MURIEL SIEBERT & CO., LLC
June 30, 1999 - September 15, 1999
PRUDENTIAL EQUITY GROUP, LLC
March 12, 1999 - March 23, 1999
TRANSAMERICA FINANCIAL ADVISORS, INC.
September 9, 1998 - January 20, 1999
ASSOCIATED SECURITIES CORP.
April 24, 1998 - August 19, 1998
GRIFFIN FINANCIAL SERVICES
October 24, 1996 - December 10, 1997
NATIONAL CLEARING CORP.
October 19, 1995 - January 16, 1996
FIRST WILSHIRE SECURITIES, INC.
May 4, 1995 - October 9, 1995
FIRST WILSHIRE SECURITIES, INC.
March 8, 1995 - May 10, 1995
FIMCO SECURITIES GROUP, INC.
December 4, 1992 - March 8, 1995
BNY MELLON SECURITIES CORPORATION
April 13, 1992 - October 20, 1992
INTERFIRST CAPITAL CORPORATION
December 14, 1983 - June 7, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
December 27, 1982 - January 26, 1984
LEHMAN BROTHERS INC.
February 15, 1982 - January 31, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 1981 - February 12, 1982
MCDONNELL SECURITIES CORPORATION
March 4, 1981 - August 23, 1981
JONESTRADING
August 22, 1979 - April 13, 1981
BECKER PARIBAS INCORPORATED
March 26, 1979 - September 7, 1979
CANTOR FITZGERALD & CO.
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 55
Date: 4/19/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIRST BROKERAGE AMERICA, L.L.C.
CRD#: 43431 / SEC#: , 8-50271
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ELLEN C. DIERBERG FAMILY TRUST | OWNER | |
| JAMES F. DIERBERG II FAMILY TRUST | OWNER | |
| MICHAEL J. DIERBERG FAMILY TRUST | OWNER | |
| DIERBERG, MARY WELP | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | 4053054 |
| FIRST BANKS, INC | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | |
| FURMAN, EDWARD DAVID | MSRB PRINCIPAL | 1426353 |
| PRESSON, DAVID ALAN | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER | 1237920 |
| ROBERTS, SARAH ANN | OPERATIONS MANAGER | 2472587 |
| TODD, EUGENE REEVES | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 2639876 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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