Roger Soo

Current Employers

Equity Services, Inc.

One National Life Drive, Montpelier, VT 05604 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-22

NY RA
APPROVED

Since 2021-06-22

Branch Locations

675 Third Avenue Suite 900, New York, NY 10017 • United States

New York, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
National Life Of Vt	Montpelier	VT	04/1974	Present
Equity Services, Inc.	New York	NY	07/1995	Present

04/1974 → Present

National Life Of Vt

Montpelier, VT
07/1995 → Present

Equity Services, Inc.

New York, NY

Other Businesses

*PRINCE & PRINCESS, NOT INV. REL., 41 E. 78TH ST., NY, NY 10021, CHILDREN'S CLOTHING BOUTIQUE, PARTNER, 1991-PRES., 0 HRS/MO, NO DUTIES. *ROGER SOO, INVESTMENT RELATED. LOCATED IN NY. INSURANCE SALES. SALES ASSOCIATE. 04/1974-PRES.160 HR PER MNTH. DURING TRADING HRS. AGENT FOR SEVERAL INSURANCE CO TO SELL LIFE, HEALTH, DI, LTC. *WEALTHBRIDGE FINANCIAL GROUP. INV REL. INSURANCE SALES. SALES AGENT. FEB 2015-CURRENT. 160 HRS/MO. DURING TRADE HRS.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1995-09-19

S63 Uniform Securities Agent State Law Examination

1995-09-19

View on SEC IAPD

Current Employers

Equity Services, Inc.

Disclosures

Employment History

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Exams

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