Roger T. Briggs
Professional summary
Roger Thomas Briggs, who also goes by Roger Thomas Briggs Jr, is a registered financial professional currently at RABO SECURITIES USA, INC. located in New York, New York.
Roger is registered as a RR (Registered Representative) and started their career in finance in 1986. Roger has worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger Thomas Briggs's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 23, 2019 - Present
RABO SECURITIES USA, INC.
Office #1: 151 West 42nd Street 8th Floor, New York, NY 10036May 26, 2015 - May 14, 2018
CANACCORD GENUITY LLC
February 25, 2015 - May 27, 2015
LAMPERT CAPITAL MARKETS INC.
April 14, 2014 - September 16, 2014
MESIROW FINANCIAL, INC.
August 25, 2009 - June 12, 2012
VELOCITYHEALTH SECURITIES, INC.
June 15, 2001 - June 5, 2009
MORGAN JOSEPH TRIARTISAN LLC
April 30, 2001 - July 25, 2001
ABN AMRO INCORPORATED
May 16, 2000 - April 30, 2001
ABN AMRO SECURITIES LLC
October 2, 1994 - September 9, 1999
TRUIST SECURITIES, INC.
June 7, 1989 - February 25, 1993
DB ALEX. BROWN LLC
May 20, 1986 - April 6, 1989
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
RABO SECURITIES USA, INC.
CRD#: 122657 / SEC#: , 8-65525
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTRECHT-AMERICA HOLDINGS, INC | SOLE SHAREHOLDER | |
| AMIN, SHREYA | SECRETARY | 7368182 |
| BASSETT, DAVID FRANCIS | CHAIRMAN | 2802027 |
| CHESTER, WILLIAM PETER | DIRECTOR | 5868288 |
| DEMAZURE PELLETIER, CHRISTINE MARIE | DIRECTOR | 5481370 |
| KITTEL, CHRISTOPHER FREDERICK | CHIEF COMPLIANCE OFFICER | 2718043 |
| KORMANEK, SHAWN PATRICK | DIRECTOR | 7310810 |
| LAMPER, KATHERINE S | DIRECTOR | 5202959 |
| LAZAROV, DUSAN OBRAD | DIRECTOR | 7904295 |
| MARTENS, ANDREA MARIE | FINANCIAL AND OPERATIONS PRINCIPAL | 1187593 |
| PASDAR, NADER | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4702711 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
