RM
Roger D. Mack
BARON CAPITAL
New York, NY 10153
Some features on this profile are disabled
CRD#: 1896872
RM
Professional summary
Roger Dever Mack JR, who also goes by Roger Dever Mack II, Roger Dever Mack, is a registered financial professional currently at BARON CAPITAL, INC. located in New York, New York.
Roger is registered as a RR (Registered Representative) and started their career in finance in 1988. Roger has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Roger Dever Mack Ii | Roger Dever Mack
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.
CRS (Client Relationship Summary) - BD
Click below to view Roger Dever Mack JR's 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®
NoneExperience
Current
July 21, 2014 - Present
BARON CAPITAL, INC.
Office #1: 767 Fifth Avenue 49th Floor, New York, NY 10153BD
CRD#: 10538
New York, NY
Past
July 28, 2009 - July 24, 2014
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
August 16, 2006 - December 31, 2008
J.P. MORGAN CLEARING CORP.
BD
CRD#: 28432
BROOKLYN, NY
Past
August 16, 2006 - February 12, 2009
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
June 29, 1998 - August 26, 2005
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
July 18, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
February 11, 1996 - July 1, 1997
OCC DISTRIBUTORS LLC
BD
CRD#: 18541
Past
April 15, 1991 - July 1, 1997
OCC DISTRIBUTORS LLC
BD
CRD#: 18541
NEW YORK, NY
Past
November 23, 1988 - May 16, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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
Alabama(7/21/2014)
RR
Alaska(7/21/2014)
RR
Arizona(7/21/2014)
RR
Arkansas(7/21/2014)
RR
California(7/21/2014)
RR
Colorado(7/21/2014)
RR
Connecticut(7/21/2014)
RR
Delaware(7/21/2014)
RR
District of Columbia(7/21/2014)
RR
Florida(7/21/2014)
RR
Georgia(7/21/2014)
RR
Hawaii(7/21/2014)
RR
Idaho(7/21/2014)
RR
Illinois(7/21/2014)
RR
Indiana(7/21/2014)
RR
Iowa(7/21/2014)
RR
Kansas(7/21/2014)
RR
Kentucky(7/21/2014)
RR
Louisiana(7/21/2014)
RR
Maine(7/21/2014)
RR
Maryland(7/21/2014)
RR
Massachusetts(7/21/2014)
RR
Michigan(7/21/2014)
RR
Minnesota(7/21/2014)
RR
Mississippi(7/21/2014)
RR
Missouri(7/21/2014)
RR
Montana(7/21/2014)
RR
Nebraska(7/21/2014)
RR
Nevada(7/21/2014)
RR
New Hampshire(7/21/2014)
RR
New Jersey(7/21/2014)
RR
New Mexico(7/21/2014)
RR
New York(7/21/2014)
RR
North Carolina(7/24/2014)
RR
North Dakota(7/21/2014)
RR
Ohio(7/21/2014)
RR
Oklahoma(7/21/2014)
RR
Oregon(7/21/2014)
RR
Pennsylvania(7/21/2014)
RR
Puerto Rico(11/13/2019)
RR
Rhode Island(7/21/2014)
RR
South Carolina(7/21/2014)
RR
South Dakota(7/21/2014)
RR
Tennessee(7/21/2014)
RR
Texas(7/21/2014)
RR
Utah(7/21/2014)
RR
Vermont(7/21/2014)
RR
Virgin Islands(11/13/2019)
RR
Virginia(7/21/2014)
RR
Washington(7/21/2014)
RR
West Virginia(7/21/2014)
RR
Wisconsin(7/21/2014)
RR
Wyoming(7/21/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BARON CAPITAL, INC.
BARON CAPITAL, INC. | BARON CAPITAL, INC. (NY)
CRD#: 10538 / SEC#: , 8-27533
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
767 Fifth Avenue 48th Floor, New York, NY 10153
Mailing Address
767 Fifth Avenue 48th Floor, New York, NY 10153
Phone number
(212) 583-2000
Established
New York since 03/16/1982
Firm type
Corporation
Fiscal year end
February
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARON CAPITAL GROUP, INC. | SHAREHOLDER | |
| BARON, RONALD STEPHEN | DIRECTOR, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 13187 |
| BALTOVSKI, ALEXANDER | FINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2350828 |
| BARON, DAVID ROBERT | DIRECTOR | 3245808 |
| BARON, MICHAEL R. | DIRECTOR | 4393612 |
| BEASLEY, LOUIS BARRETT | CHIEF COMPLIANCE OFFICER | 3156061 |
| GREENBERG, CLIFFORD | DIRECTOR AND SENIOR VICE PRESIDENT | 2292041 |
| NAGLER, ANITA MARIE | DIRECTOR | 2503631 |
| PATALINO, PATRICK MICHAEL | SVP, CHIEF OPERATING OFFICER | 4481185 |
| PECK, ANDREW JOSHUA | DIRECTOR AND SENIOR VICE PRESIDENT | 5348729 |
| ROBBINS, SUSAN JAN | DIRECTOR AND VICE PRESIDENT | 840688 |
| TREGLIA, KRISTINE F | VP, CHIEF LEGAL OFFICER | 6384500 |
Disclosures
| Regulatory Event | 8 |
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.
