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DR

David C. Roeder

I-BANKERS SECURITIES
Boca Raton, FL 33432
Some features on this profile are disabled
CRD#: 1852827
DR

Professional summary

David Christopher Roeder, who also goes by David Christopher Roede, is a registered financial professional currently at I-BANKERS SECURITIES, INC. located in Boca Raton, Florida.

David is registered as a RR (Registered Representative) and started their career in finance in 1988. David has worked at 13 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Christopher Roede

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 David Christopher Roeder'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

November 3, 2017 - Present

I-BANKERS SECURITIES, INC.

Office #1: 1200 N Federal Hwy Suite 215, Boca Raton, FL 33432
BD
CRD#: 41352
Boca Raton, FL
Past

June 22, 2015 - November 18, 2015

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

September 22, 2011 - June 14, 2013

OCEAN CROSS CAPITAL MARKETS LLC

BD
CRD#: 156256
WESTPORT, CT
Past

May 4, 2009 - September 1, 2011

SOUTHRIDGE INVESTMENT GROUP LLC

BD
CRD#: 45531
RIDGEFIELD, CT
Past

May 5, 2005 - December 18, 2008

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

May 23, 2003 - February 13, 2004

WESTPARK CAPITAL, INC.

BD
CRD#: 39914
NEW YORK, NY
Past

July 18, 2000 - October 21, 2004

BERRY-SHINO SECURITIES, INC.

BD
CRD#: 38098
SCOTTSDALE, AZ
Past

December 9, 1994 - July 18, 2000

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
PORTLAND, OR
Past

July 28, 1993 - December 12, 1994

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

June 17, 1992 - August 5, 1993

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

December 3, 1991 - June 25, 1992

PMG SECURITIES CORPORATION

BD
CRD#: 27107
ELGIN, IL
Past

March 22, 1989 - August 9, 1991

PRINCETON FINANCIAL GROUP, INC.

BD
CRD#: 14597
Past

July 28, 1988 - February 28, 1989

POWER SECURITIES CORPORATION

BD
CRD#: 15527

State Registrations and Notice Filings

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

RR
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

RR
California
(2/11/2020)
RR
Connecticut
(7/21/2020)
RR
Delaware
(2/17/2021)
RR
Florida
(5/10/2023)
RR
Georgia
(4/6/2021)
RR
Illinois
(7/21/2020)
RR
Massachusetts
(7/21/2020)
RR
New Jersey
(11/6/2019)
RR
New York
(11/3/2017)
RR
North Carolina
(11/25/2020)
RR
Pennsylvania
(2/8/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 7/27/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1988
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

IS
I-BANKERS SECURITIES, INC.
I-BANKERS SECURITIES, INC. | MILLENNIUM FINANCIAL GROUP, INC. | IBS HOLDING CORPORATION

CRD#: 41352 / SEC#: , 8-49385

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1200 N Federal Hwy Suite 215, Boca Raton, FL 33432
Mailing Address
1200 N Federal Hwy Suite 215, Boca Raton, FL 33432
Phone number
(817) 980-9034
Established
Texas since 06/06/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MCCRORY, JAMES MICHAELBOARD CHAIRMAN/OWNER2366988
LEONARD, SHELLEY KAYOWNER2401474
FLORIANI, PAOLO ERMENEGILDOSHAREHOLDER2760686
LEVIN, ALAN BRUCECFO3073530
MCCLOSKEY, MATTHEW JOSEPHPRESIDENT/CEO3035438
THAYER, LARRY DANIEL JRCHIEF COMPLIANCE OFFICER4598879

Disclosures

Regulatory Event2

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.

Company Information

I-BANKERS SECURITIES, INC.

CRD#: 41352Boca Raton, FL 33432

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