Articles Tagged with Joseph Roop

Joseph Roop Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that North Carolina-based Kalos Capital broker/adviser Joseph Roop has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Roop (CRD# 2774470).

Joseph Roop has spent 22 years in the securities industry and has been registered with Kalos Capital in Belmont, North Carolina since 2009. Previous registrations include Wachovia Securities in Belmont, North Carolina (2008-2009); Banc of America Investment Services in Charlotte, North Carolina (2004-2008); Legg Mason Wood Walker in Baltimore, Maryland (2000-2004); MML Investors Services in Springfield, Massachusetts (1998-2000); and Pruco Securities Corporation in Newark, New Jersey (1996-1998). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 2, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 9, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on October 26, 2001; Series 7 (General Securities Representative Examination), which he obtained on October 4, 2000; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 2, 1996. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Florida, Kentucky, Louisiana, Mississippi, Nevada, New Jersey, North Carolina, Pennsylvania, Rhode Island, South Carolina, Tennessee, Virginia, and West Virginia.

According to his BrokerCheck report, he has received five customer complaints and one pending customer complaint.