Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Thomas Spann is a financial advisor with Joseph Stone Capital LLC. Roger has been working in the financial services industry since 1996. He is a licensed securities professional and is registered with the Financial Industry Regulatory Authority (FINRA) as well as the state of New York. Roger is also registered in Arkansas, California, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kansas, Maryland, Michigan, Minnesota, Ohio, Oklahoma, Pennsylvania, Texas, and Virginia. Prior to joining Joseph Stone Capital LLC, Roger was with Windsor Street Capital, LP, Bishop, Rosen & Co., Inc., Saxony Securities, Inc., First Republic Group, LLC, JWGenesis Securities, Inc., National Securities Corporation, The Boston Group, First Metropolitan Securities, Inc., Shamus Group, Inc., First Cambridge Securities Corporation, Joseph Roberts & Co., Inc., Hanover, Sterling & Company LTD, and GKN Securities Corp.
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.
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2
NY
05/21/2018 - Present
Joseph Stone Capital LLC (NEW YORK NY)
NY
08/31/2011 - 05/31/2018
WINDSOR STREET CAPITAL, LP (NEW YORK NY)
NY
04/30/2007 - 09/03/2008
BISHOP, ROSEN & CO., INC. (NEW YORK NY)
NY
06/29/2005 - 05/03/2007
SAXONY SECURITIES, INC. (NEW YORK NY)
NY
06/29/2000 - 06/20/2005
FIRST REPUBLIC GROUP, LLC (NEW YORK NY)
FL
10/05/1998 - 07/10/2000
JWGENESIS SECURITIES, INC. (BOCA RATON FL)
FL
07/24/1998 - 09/23/1998
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
CA
01/02/1998 - 07/24/1998
THE BOSTON GROUP (LOS ANGELES CA)
NY
12/10/1997 - 12/10/1997
FIRST METROPOLITAN SECURITIES, INC. (NEW YORK NY)
NA
09/23/1996 - 10/31/1997
SHAMUS GROUP, INC.
NY
08/15/1995 - 09/09/1996
FIRST CAMBRIDGE SECURITIES CORPORATION (NEW YORK NY)
FL
06/12/1995 - 08/02/1995
JOSEPH ROBERTS & CO., INC. (POMPANO BEACH FL)
NY
07/06/1993 - 07/11/1995
HANOVER, STERLING & COMPANY LTD. (NEW YORK NY)
NY
11/04/1992 - 06/25/1993
GKN SECURITIES CORP. (NEW YORK NY)
BC
Issued 11/17/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/1992
Series 7 - General Securities Representative Examination
Active
Inactive
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FINRA
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