CRD# 711949

INVESTIGATED by Peiffer Rosca. Click here for details

Current status: Not Licensed
Disclosure eventsyes (see report below for more details)
Employment history:
11/1992 – 11/2012 Merrill Lynch, Pierce, Fenner & Smith, Incorporated CRD# 7691

Brokercheck report available here:

Roger S. Rathmell Investigated

 

 

 

Source: FINRA, www.finra.org . Check latest employment history here.