Roger A. Farley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roger Alan Farley, who also goes by Roger H Farley, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1989. Roger had worked at 6 firms and has passed the SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2011 - July 30, 2020
RONIN CAPITAL, LLC
March 5, 1997 - July 6, 1998
NATWEST MARKETS SECURITIES INC.
October 22, 1993 - August 25, 1994
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 3, 1993 - July 7, 1993
CRT GOVERNMENT SECURITIES, LTD.
June 24, 1991 - February 12, 1997
BNP PARIBAS PRIME BROKERAGE, INC.
May 23, 1989 - July 17, 1989
DISCOUNT CORPORATION OF NEW YORK FUTURES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RONIN CAPITAL, LLC
CRD#: 118428 / SEC#: , 8-53655
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZEN HOLDINGS, LLC | MEMBER | |
| FAIRWAY TRADING, LLC | MEMBER | |
| STAFFORD, JOHN SPRINGS III | CHIEF EXECUTIVE OFFICER | 2366359 |
| ANSATZ HOLDINGS LLC | MEMBER | |
| BURDA, AGNIESZKA | CHIEF COMPLIANCE OFFICER | 4832368 |
| CHERVITZ, KERI S | COMPLIANCE MANAGER | 2875647 |
| DAI, ERIC | CHIEF OPERATING OFFICER | 5880944 |
| GALIN, JONATHAN BRETT | CHIEF RISK OFFICER | 1597276 |
| HUERTA, KELLY JO | FINANCIAL AND OPERATION PRINCIPAL | 4889908 |
| POOLER, ROBERT EDWARD JR | CHIEF FINANCIAL OFFICER | 2817263 |
| WOLO CAPITAL, LLC | MEMBER |
Disclosures
| Regulatory Event | 26 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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