Richard J. Roeser

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Current Employers

Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-08-26
IL	RA	APPROVED	2008-10-23

TX RA
APPROVED_RES

Since 2014-08-26
IL RA
APPROVED

Since 2008-10-23

Branch Locations

220 N Smith St Ste 129, Palatine, IL 60067 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Edward D. Jones & Co., L.P.	Palatine	IL	04/1998	Present

04/1998 → Present

Edward D. Jones & Co., L.P.

Palatine, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-10-13
S63	Uniform Securities Agent State Law Examination	1998-06-20

S65 Uniform Investment Adviser Law Examination

2008-10-13
S63 Uniform Securities Agent State Law Examination

1998-06-20

Other Names

Richard J Roeser
Richard Roeser

View on SEC IAPD

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Other Investors

STEPHEN TODD MACTAVISH

JOHN ROBERT RESSLER

ALAN NEAL LEVINE

LAWRENCE WILLIAM SCHMITT

TODD ANDREW LEFEVRE

MARK EDWARD LEFEVRE

DENZIL ALAN LOCKE

ERIC ARTHUR MARZINKE

Other Offices

LPL FINANCIAL LLC · PALATINE, IL

COMMONWEALTH FINANCIAL NETWORK · Palatine, IL

LPL ENTERPRISE, LLC · PALATINE, IL

LPL FINANCIAL LLC · Palatine, IL

LOCKE FINANCIAL SERVICES, INC. · PALATINE, IL

LOCKE FINANCIAL SERVICES, INC. · Palatine, IL

OSAIC WEALTH, INC. · PALATINE, IL

EDWARD JONES · PALATINE, IL

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