Roger T. Briggs
Professional summary
Roger Thomas Briggs, who also goes by Roger Thomas Briggs Jr, is a registered financial professional currently at YORKVILLE SECURITIES, LLC located in Mountainside, New Jersey.
Roger is registered as a RR (Registered Representative) and started their career in finance in 1986. Roger has worked at 12 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
May 28, 2026 - Present
YORKVILLE SECURITIES, LLC
Office #1: 1012 Springfield Ave, Mountainside, NJ 07092February 23, 2019 - June 11, 2026
RABO SECURITIES USA, INC.
May 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
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/28/2026)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
YORKVILLE SECURITIES, LLC
CRD#: 330480 / SEC#: , 8-71241
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKVILLE BD HOLDINGS, LLC | SOLE MEMBER | |
| ANGELO, MARK ANTHONY | CHAIRMAN OF BOARD OF MANAGERS | 2585969 |
| BECKMAN, MATTHEW JACOB | MEMBER OF THE BOARD OF MANAGERS; CO-HEAD OF INVESTMENT BANKING | 4139592 |
| BOWMAN, TIMOTHY JOSEPH | CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, AND FINOP | 2247374 |
| FRANKS, OREN | CONTROLLER | 4902717 |
| MARKUNAS, MICHAEL NMN | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 1832307 |
| MCNICOLL, PATRICE | CO-CEO | 3199758 |
| RILLO, TROY JAMES | MEMBER OF BOARD OF MANAGERS; CO-CEO | 1726077 |
| ROSSELLI, MICHAEL ALBERT | MEMBER OF THE BOARD OF MANAGERS; CO-HEAD OF INVESTMENT BANKING | 7714774 |
Red Flags
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