Roger W. Hoit

MOELIS & COMPANY LLC

West Palm Beach, FL 33401

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CRD#: 1570403

Professional summary

Roger Winslow Hoit is a registered financial professional currently at MOELIS & COMPANY LLC located in West Palm Beach, Florida.

Roger is registered as a RR (Registered Representative) and started their career in finance in 1994. Roger has worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Winslow Hoit's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 23, 2009 - Present

MOELIS & COMPANY LLC

Office #1: 515 N Flagler Drive Suite 1425, West Palm Beach, FL 33401

CRD#: 145115

West Palm Beach, FL

Past

May 3, 2000 - February 13, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

September 10, 1999 - April 28, 2000

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

June 29, 1999 - July 31, 1999

GLEACHER PARTNERS LLC

CRD#: 47342

NEW YORK, NY

Past

September 30, 1996 - June 29, 1999

NATWEST FINANCE INC.

CRD#: 26125

NEW YORK, NY

Past

August 11, 1994 - May 21, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(8/12/2021)

New York
(2/23/2009)

Exams

State Security Law Exam

Series 63

Date: 12/30/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/10/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/14/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MOELIS & COMPANY LLC

MOELIS | MOELIS & COMPANY LLC | MOELIS & COMPANY

CRD#: 145115 / SEC#: , 8-67705

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

399 Park Avenue 4th Floor, New York, NY 10022

Mailing Address

399 Park Avenue 4th Floor, New York, NY 10022

Phone number

(212) 883-3800

Established

Delaware since 06/12/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MOELIS & COMPANY GROUP LP	PARENT COMPANY
CALLESANO, CHRIS PETER	CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER	4889259
MAHMOODZADEGAN, NAVID ALI	CHIEF EXECUTIVE OFFICER	2609804
MOELIS, KENNETH DAVID	EXECUTIVE CHAIRMAN	1015047
PILCHER CIAFONE, KATHERINE CELY	CHIEF OPERATING OFFICER	4573006
RAICH, JEFFREY ALAN	EXECUTIVE VICE CHAIRMAN	2016620
WATANABE, OSAMU RICHARD	CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER	2875185

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Roger W. Hoit

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Winslow Hoit's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

COWEN AND COMPANY

GLEACHER PARTNERS LLC

NATWEST FINANCE INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/30/1998

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/10/1994

Series 24

Date: 6/14/2001

FINRA

Current Firm

MOELIS & COMPANY LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MOELIS & COMPANY LLC

TRUST BUT VERIFY

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