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RL

Roger J. Liberman

HUNTWICKE SECURITIES
Topsfield, MA 01983
Some features on this profile are disabled
CRD#: 2172579
RL

Professional summary

Roger Jacob Liberman is a registered financial professional currently at HUNTWICKE SECURITIES, LLC located in Topsfield, Massachusetts.

Roger is registered as a RR (Registered Representative) and started their career in finance in 1992. Roger has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

Click below to view Roger Jacob Liberman's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 16, 2021 - Present

HUNTWICKE SECURITIES, LLC

Office #1: 7 Grove Street Suite 201, Topsfield, MA 01983
BD
CRD#: 146993
Topsfield, MA
Past

March 21, 2006 - February 8, 2021

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

March 13, 1992 - September 30, 2005

CAPSTAR PARTNERS, LLC

BD
CRD#: 29000
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
California
(3/16/2021)
RR
Connecticut
(3/16/2021)
RR
Florida
(3/16/2021)
RR
Illinois
(3/16/2021)
RR
Massachusetts
(3/16/2021)
RR
New Jersey
(3/16/2021)
RR
New York
(3/16/2021)
RR
North Carolina
(3/16/2021)
RR
North Dakota
(3/16/2021)
RR
Ohio
(3/18/2021)
RR
Texas
(3/16/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/7/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/1991
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HUNTWICKE SECURITIES, LLC
HUNTWICKE SECURITIES, LLC | PHALANX TRADING, LLC

CRD#: 146993 / SEC#: , 8-67865

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
7 Grove Street Suite 201, Topsfield, MA 01983
Mailing Address
7 Grove Street Suite 201, Topsfield, MA 01983
Phone number
(978) 887-5981
Established
Massachusetts since 02/11/2008
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HUNTWICKE FINANCIAL LLC (F/K/A PHALANX PARTNERS LLC)OWNER
DORFMAN FOSTER, ESTEEFINOP2696529
GARCIA, FERNANDO MARIOCOMPLIANCE OFFICER6161322
WOODLAND, BRIAN ANDREWPRESIDENT/CEO/CCO2263508

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.

Company Information

HUNTWICKE SECURITIES, LLC

CRD#: 146993Topsfield, MA 01983

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