RS
Roger H. Saks
STIFEL, NICOLAUS & COMPANY
New York, NY 10036
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CRD#: 2613996
RS
Professional summary
Roger Harris Saks, AIF® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in New York, New York.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Roger has worked at 4 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. TREETOP ADVENTURE; OUTDOOR ADVENTURE PARK AND OBSTACLE COURSE; ARLINGTON ROAD,LEDGEWOOD, NJ,UNITED STATES-07852; OTHER; PRIVATE; CO-OWNER WITH POSSIBLE OUTSIDE INVESTORS; 17 JUL 2012; -2 HOURS PER MONTH AFTER SECURITIES TRADING HOURS; 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS 2. RUBY'S NATURALS INC.; 64 FULTON STREET, SUITE 600, NY, NY 10038; NATURAL FOOD SNACKS; INDEPENDENT ADVISOR; 01/07/2015; 2 HOURS PER MONTH AFTER BUSINESS HOURS 3. DARL LLC; 64 Twin Brooks Road Saddle River NJ 07458; This is an LLC that owns 40 acres of land for development of a park; CO-Owner; passive investor; affiliation started 01/01/2012; 2 hours per month; not during securities trading hours; not investment-related. 4. Wharton Club of new Jersey; 130 Canoe Brook Road, Short Hills, NJ 07078; Non-profit alumni networking support group; Executive Board Member; Advise on club activities; 06/01/2020; 4 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 5. Northern Lake George Yacht Club; 40 Friends Point Dr S Hague NY 12836; sailing and social club; Board Member; Participate in occasional meetings and offer guidance/ suggestions through social activities and projects; 08/22/2023; 1.00hr/month; Not during securities trading hours; Not Investment-Related 6. Northern Lake George Yacht Club Junior Sailor Endowment Trust; 40 Friends Point Dr S Hague, NY 12836; sailing and social club; trustee; to advise on investment and allocation of funds; 08/29/2025; 1hr/mth; Not during securities trading hours; Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Roger Harris Saks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roger Harris Saks's 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®
Experience
Current
December 4, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
New York, NY
Current
December 4, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
New York, NY
Past
February 8, 2012 - December 4, 2015
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
NEW YORK, NY
Past
September 22, 2008 - December 4, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
April 9, 2001 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 9, 1995 - January 12, 2001
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(12/4/2015)
RR
Colorado(9/27/2024)
RR
Connecticut(12/4/2015)
RR
Delaware(12/4/2015)
RR
District of Columbia(12/4/2015)
RR
Florida(12/4/2015)
RR
Georgia(11/22/2022)
RR
Idaho(7/12/2022)
RR
Illinois(12/4/2015)
RR
Maryland(3/11/2025)
RR
Massachusetts(12/4/2015)
RR
Michigan(8/30/2024)
RR
Minnesota(10/9/2025)
RR
Nevada(10/7/2019)
RR
New Jersey(12/4/2015)
RR
New York(12/4/2015)
IAR
New York(5/26/2021)
RR
North Carolina(4/8/2020)
RR
Ohio(1/30/2018)
RR
Oregon(9/2/2025)
RR
Pennsylvania(12/4/2015)
IAR
Pennsylvania(12/4/2015)
RR
Rhode Island(3/11/2025)
RR
South Carolina(3/16/2023)
RR
Tennessee(1/18/2017)
RR
Texas(12/4/2015)
IAR
Texas(12/4/2015)
RR
Utah(2/19/2025)
RR
Vermont(10/2/2025)
RR
Virginia(12/4/2015)
RR
Washington(12/4/2015)
RR
Wisconsin(1/2/2020)
RR
Wyoming(2/21/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/3/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
