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RM

Roland S. Merchant

CRD#: 2614792
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RM
Roland Samuel Merchant JR

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.

Roland Samuel Merchant JR was a registered financial professional .

Roland is a previously registered financial professional and started their career in finance in 1995. Roland had 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

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 28, 2021 - June 23, 2026

CBRE CAPITAL ADVISORS, INC.

BD
CRD#: 140565
NEW YORK, NY
Past

April 27, 2017 - May 20, 2021

HFF SECURITIES L.P.

BD
CRD#: 131585
New York, NY
Past

July 1, 2009 - March 6, 2017

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
NEW YORK, NY
Past

February 24, 2006 - July 1, 2009

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
NEW YORK, NY
Past

May 2, 2005 - February 16, 2006

SECURED CAPITAL LLC

BD
CRD#: 26723
LOS ANGELES, CA
Past

August 11, 2003 - April 22, 2005

CUSHMAN & WAKEFIELD SECURITIES, INC.

BD
CRD#: 123717
NEW YORK, NY
Past

October 30, 2001 - February 10, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 4, 1995 - February 13, 1996

LAMAUTE CAPITAL INCORPORATED

BD
CRD#: 32957
CHEVY CHASE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/29/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/29/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/3/1995
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CC
CBRE CAPITAL ADVISORS, INC.
CBRE CAPITAL ADVISORS, INC. | TRAMMELL CROW CAPITAL CORPORATION | SERA PRIVATE FUNDS GROUP | CBRE CAPITAL CORPORATION

CRD#: 140565 / SEC#: , 8-67319

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

Main Address
2121 N. Pearl Street Suite 300, Dallas, TX 75201
Mailing Address
2121 N. Pearl Street Suite 300, Dallas, TX 75201
Phone number
(214) 863-4255
Established
Delaware since 12/15/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
CBRE, INC.SOLE OWNER
MATTERA, RICHARD JOSEPHFINOP, PPO, PFO2246513
MILLON, JAMESREGISTERED PRINCIPAL5334992
POTTER, SCOTT CHRISTOPHERCFO/SECRETARY/CCO/PRESIDENT

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

CBRE CAPITAL ADVISORS, INC.

CRD#: 140565

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