Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Hartley is a financial professional with over 20 years of experience in the industry. Currently, Roger is a registered representative with Burch & Company, Inc. Roger has held previous positions at Foreside Fund Services, LLC, Coast Asset Securities LLC, Jefferies & Company, Inc., Putnam Lovell NBF Securities Inc., and UB Investment Services, Inc. Roger holds Series 7, Series 24, Series 63, Series 79TO, and SIE licenses. Roger is registered with the state of California.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
MO
02/26/2010 - Present
Burch & Company, Inc. (KANSAS CITY MO)
ME
12/08/2009 - 02/22/2010
FORESIDE FUND SERVICES, LLC (PORTLAND ME)
CA
01/08/2008 - 12/08/2008
COAST ASSET SECURITIES LLC (SANTA MONICA CA)
CA
07/27/2007 - 12/17/2007
JEFFERIES & COMPANY, INC. (SAN FRANCISCO CA)
CA
07/09/2002 - 07/20/2007
PUTNAM LOVELL NBF SECURITIES INC. (SAN FRANCISCO CA)
NA
06/09/1993 - 09/22/1993
UB INVESTMENT SERVICES, INC.
BC
Issued 04/10/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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