Roger D. Elsas
Professional summary
Roger Dewitt Elsas is a registered financial professional currently at DREXEL HAMILTON, LLC located in New York, New York.
Roger is registered as a RR (Registered Representative) and started their career in finance in 1970. Roger has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 79, Series 1, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger Dewitt Elsas's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2011 - Present
DREXEL HAMILTON, LLC
Office #1: 110 East 42nd Street Suite 1502, New York, NY 10017March 8, 1995 - April 2, 2009
OPPENHEIMER & CO. INC.
February 13, 1995 - March 7, 1995
OPPENHEIMER & CO. INC.
August 12, 1987 - February 23, 1995
LEHMAN BROTHERS INC.
December 20, 1977 - August 8, 1978
MORGAN STANLEY & CO., INCORPORATED
March 1, 1975 - May 26, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
April 23, 1970 - January 8, 1978
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/15/2020)
(10/4/2011)
(3/31/2011)
(3/31/2011)
(3/31/2011)
(6/17/2013)
(8/1/2013)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/20/1970
Registered Representative ExaminationSeries 12
Date: 3/1/1975
NYSE Branch Manager ExaminationSeries 00
Date: 1/30/1975
General Securities Principal ExaminationFINRA
Current Firm
DREXEL HAMILTON, LLC
CRD#: 143570 / SEC#: , 8-67576
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FELICE, ANTHONY PHILIP | CHIEF EXECUTIVE OFFICER | 4441607 |
| DOLL, LAWRENCE KIRK | OWNER | 5236486 |
| ELSAS, ROGER DEWITT | OWNER | 200659 |
| FAY, MELISSA JO HILER | OWNER | 5360445 |
| MARTINKO, JOHN CHRISTOPHER | OWNER | 5286067 |
| KIM, HYUNG S | OWNER | 5653676 |
| BRENNAN, PAUL FRANCIS | CHIEF OPERATING OFFICER | 2170928 |
| EDWARDS, JOHN WILLIAM JR. | CHIEF FINANCIAL OFFICER/FINOP | 1757360 |
| MAGEE, MARY BRENNAN | TRUSTEE, THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | |
| SANOK, EDWARD WILLIAM | CHIEF COMPLIANCE OFFICER | 6301272 |
| THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | OWNER |
Disclosures
| Regulatory Event | 3 |
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.
