Roland S. Merchant
Professional summary
Roland Samuel Merchant JR is a registered financial professional currently at CBRE CAPITAL ADVISORS, INC. located in New York, New York.
Roland is registered as a RR (Registered Representative) and started their career in finance in 1995. Roland has worked at 8 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roland Samuel Merchant JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 28, 2021 - Present
CBRE CAPITAL ADVISORS, INC.
Office #1: 200 Park Avenue Suite 2001, New York, NY 10166April 27, 2017 - May 20, 2021
HFF SECURITIES L.P.
July 1, 2009 - March 6, 2017
WELLS FARGO SECURITIES, LLC
February 24, 2006 - July 1, 2009
WELLS FARGO SECURITIES, LLC
May 2, 2005 - February 16, 2006
SECURED CAPITAL LLC
August 11, 2003 - April 22, 2005
CUSHMAN & WAKEFIELD SECURITIES, INC.
October 30, 2001 - February 10, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 1995 - February 13, 1996
LAMAUTE CAPITAL 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
(9/28/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CBRE CAPITAL ADVISORS, INC.
CRD#: 140565 / SEC#: , 8-67319
Contact information
FINRA licenses (26 States and Territories)
Documents
Red Flags
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