Roger N. Paradiso
Professional summary
Roger Nmn Paradiso, who also goes by Roger Paradiso, is a registered financial advisor currently at O'SHAUGHNESSY ASSET MANAGEMENT, LLC located in Stamford, Connecticut and FRANKLIN DISTRIBUTORS, LLC located in Stamford, Connecticut.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Roger has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Roger Nmn Paradiso's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
O'SHAUGHNESSY ASSET MANAGEMENT, LLC
Office #1: 100 First Stamford Place, Stamford, CT 06902March 4, 2016 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 100 First Stamford Place, Stamford, CT 06902April 26, 2017 - November 30, 2022
FINANCIAL GUARD, LLC
March 4, 2016 - April 26, 2017
CLEARBRIDGE INVESTMENTS, LLC
June 1, 2009 - October 13, 2015
MORGAN STANLEY
June 1, 2009 - October 13, 2015
MORGAN STANLEY
April 1, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 1, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 19, 2005 - April 9, 2008
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - April 9, 2008
FRANKLIN DISTRIBUTORS, LLC
May 24, 2002 - December 21, 2005
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
January 24, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
O'SHAUGHNESSY ASSET MANAGEMENT, LLC
CRD#: 144594 / SEC#: 801-68177
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
O'SHAUGHNESSY ASSET MANAGEMENT, LLC
CRD#: 144594 / SEC#: 801-68177
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,791 |
| AUM (Assets Under Management) | $ 12,599,503,777 |
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.
