Roger W. Blackmar
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 W Blackmar JR, who also goes by Roger William Blackmar Jr, Roger W Blackmar Jr. Jr, Roger William Blackmar Jr. Jr, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1970. Roger had worked at 10 firms and has passed the Series 65, Series 63, SIE, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2015 - September 10, 2019
B. RILEY WEALTH MANAGEMENT
January 15, 2015 - September 10, 2019
B. RILEY WEALTH MANAGEMENT
June 1, 2009 - January 26, 2015
MORGAN STANLEY
June 1, 2009 - January 26, 2015
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 30, 2002 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
August 30, 2002 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
January 13, 2001 - September 10, 2002
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
January 3, 1991 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
May 22, 1986 - January 16, 1991
WEBER, HALL, SALE & ASSOCIATES, INC.
April 23, 1979 - May 30, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
October 14, 1970 - March 1, 1979
CROWELL, WEEDON & CO.
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
PC
Date: 3/15/1991
AMEX Put and Call ExamSeries 1
Date: 1/27/1958
Registered Representative ExaminationSeries 40
Date: 12/6/1977
Registered Principal ExaminationCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
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.
