Roger C. Kahn

OBERON SECURITIES

New York, NY 10022

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CRD#: 1949880

Professional summary

Roger Charles Kahn is a registered financial professional currently at OBERON SECURITIES, LLC located in New York, New York.

Roger is registered as a RR (Registered Representative) and started their career in finance in 1990. Roger has worked at 11 firms and has passed the Series 63, 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

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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

June 13, 2025 - Present

OBERON SECURITIES, LLC

Office #1: 445 Park Avenue, Suite 4b,, New York, NY 10022

CRD#: 132598

New York, NY

Past

January 30, 2023 - January 27, 2025

FTI CAPITAL ADVISORS, LLC

CRD#: 123434

NEW YORK, NY

Past

May 9, 2018 - January 9, 2023

CAPSTONE PARTNERS

CRD#: 132185

BOSTON, MA

Past

August 12, 2014 - November 14, 2018

HEADWATERS BD, LLC

CRD#: 117042

DENVER, CO

Past

February 4, 2010 - April 2, 2014

NORTHEAST SECURITIES, LLC

CRD#: 25996

NEW YORK, NY

Past

May 8, 2007 - January 8, 2010

BURNHAM SECURITIES INC.

CRD#: 22549

NEW YORK, NY

Past

August 26, 2003 - October 13, 2006

MORGAN JOSEPH TRIARTISAN CAPITAL LLC

CRD#: 122351

NEW YORK, NY

Past

May 28, 2003 - September 8, 2003

INVESTEC INC.

CRD#: 18553

NEW YORK, NY

Past

January 29, 2002 - April 28, 2003

INVESTEC INC.

CRD#: 18553

NEW YORK, NY

Past

January 25, 2001 - November 14, 2001

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

March 19, 1999 - February 8, 2001

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

July 30, 1990 - November 19, 1998

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

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

New York
(6/13/2025)

Exams

State Security Law Exam

Series 63

Date: 2/25/1997

Uniform Securities Agent State Law 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: 7/28/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/10/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OBERON SECURITIES, LLC

CRD#: 132598 / SEC#: , 8-66607

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

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Contact information

Main Address

445 Park Avenue, Suite 4b, New York, NY 10022

Mailing Address

445 Park Avenue, Suite 4b, New York, NY 10022

Phone number

(212) 386-7080

Established

New York since 04/11/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
OBERON MANAGEMENT, LLC	MEMBER
BRESLAWSKY, ADAM SCOTT	MANAGER	2522542
EPSTEIN, ELAD	FINOP, MANAGER, ACO	2731183
SCHMIDT, NICOLE ALEXANDRA	CCO, MANAGER	2686117

Red Flags

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Firm Stability Insights

Roger C. Kahn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Charles Kahn's CRS (Customer Relationship Summary).

Certified licenses

Experience

FTI CAPITAL ADVISORS, LLC

CAPSTONE PARTNERS

HEADWATERS BD, LLC

NORTHEAST SECURITIES, LLC

BURNHAM SECURITIES INC.

MORGAN JOSEPH TRIARTISAN CAPITAL LLC

INVESTEC INC.

INVESTEC INC.

TUCKER ANTHONY INCORPORATED

GRUNTAL & CO., L.L.C.

CIBC WORLD MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/25/1997

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/28/1990

Series 24

Date: 12/10/1996

FINRA

Current Firm

OBERON SECURITIES, LLC

Contact information

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OBERON SECURITIES, LLC

TRUST BUT VERIFY

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