Roger N. Scully

H.C.WAINWRIGHT & CO.

New York, NY 10022

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CRD#: 2813679

Professional summary

Roger Neal Scully is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.

Roger is registered as a RR (Registered Representative) and started their career in finance in 1997. Roger has worked at 9 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Neal Scully'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

November 1, 2025 - Present

H.C.WAINWRIGHT & CO., LLC

Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022

CRD#: 375

New York, NY

Past

February 15, 2011 - April 22, 2014

CITIZENS JMP SECURITIES, LLC

CRD#: 22208

NEW YORK, NY

Past

June 7, 2010 - November 30, 2010

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

August 4, 2008 - November 11, 2008

LEERINK PARTNERS LLC

CRD#: 39011

NEW YORK, NY

Past

March 15, 2004 - July 18, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

July 30, 1998 - March 11, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 5, 1998 - May 7, 1998

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

September 8, 1997 - February 18, 1998

MONTROSE CAPITAL MANAGEMENT LTD.

CRD#: 40799

NEW YORK, NY

Past

May 5, 1997 - September 11, 1997

MONROE PARKER SECURITIES, INC.

CRD#: 31204

PURCHASE, NY

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

Series 63

Date: 4/17/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 11/13/2025

Securities Trader Exam

General Industry/Product Exam

Series 7TO

Date: 11/1/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/11/2025

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 9/11/1998

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/11/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/29/1999

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

H.C.WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

430 Park Avenue 4th Floor, New York, NY 10022

Mailing Address

430 Park Avenue 4th Floor, New York, NY 10022

Phone number

(212) 356-0500

Established

Delaware since 04/10/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HCWHC INC	SHAREHOLDER
KAPLAN, MARK ELIOT	CEO	2618079
KIRSCH, KENNETH JOHN	CFO	1671480
KIRSCH, KENNETH JOHN	FINOP	1671480
SILVERA, EDWARD DAVID	CHIEF OPERATIONS OFFICER	6216348
YANOW, JONATHAN TODD	CHIEF COMPLIANCE OFFICER	6516303

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Roger N. Scully

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Neal Scully's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS JMP SECURITIES, LLC

MAXIM GROUP LLC

LEERINK PARTNERS LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TD AMERITRADE, INC.

MONTROSE CAPITAL MANAGEMENT LTD.

MONROE PARKER SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/17/1997

Series 57TO

Date: 11/13/2025

Series 7TO

Date: 11/1/2025

SIE

Date: 7/11/2025

Series 55

Date: 9/11/1998

Series 7

Date: 4/11/1997

Series 24

Date: 1/29/1999

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

H.C.WAINWRIGHT & CO., LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

H.C.WAINWRIGHT & CO., LLC

TRUST BUT VERIFY

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