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Detailed Report
Richard J. Roeser
RICHARD J ROESER, RICHARD ROESER
CRD#: 3053821
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 220 N Smith St Ste 129
PALATINE, IL 60067
Registration History
199820002002200420062008201020122014201620182020202220242026IAEDWARD JONES (CRD# 250)2008 - Present (16 years)BEDWARD JONES (CRD# 250)1998 - Present (26 years)
License(s)

State Registrations

B
Alabama 7/26/2024
B
Montana 4/24/2003
B
Alaska 9/19/2000
B
Nevada 6/6/2023
B
Arizona 6/22/2001
B
New Mexico 3/21/2024
B
California 11/28/2007
B
North Carolina 7/12/2018
B
Colorado 10/22/2009
B
Ohio 4/14/2015
B
Florida 1/10/2001
B
Oregon 7/30/2014
B
Illinois 6/30/1998
B
Pennsylvania 10/13/2009
IA
Illinois 10/23/2008
B
South Carolina 12/20/2010
B
Indiana 8/10/2012
B
Tennessee 9/14/2021
B
Kentucky 3/16/2022
B
Texas 1/7/1999
B
Maryland 6/15/2011
IA
Texas 8/26/2014
B
Michigan 7/7/2009
B
Virginia 8/27/2009
B
Minnesota 1/30/2015
B
Washington 3/25/2022
B
Missouri 5/31/2013
B
Wisconsin 10/30/2002

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
220 N Smith St Ste 129, PALATINE, IL 60067
Registered with this firm since 10/23/2008
B
EDWARD JONES (CRD#:250)
220 N Smith St Ste 129, PALATINE, IL 60067
Registered with this firm since 6/17/1998
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.