Roland A. Archer
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 Anthony Archer was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 1998. Roland had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2014 - January 4, 2016
MILLBURN RIDGEFIELD LLC
August 16, 2012 - July 31, 2013
SOFI SECURITIES LLC
April 27, 2005 - October 16, 2008
BANC OF AMERICA SECURITIES LLC
March 6, 1998 - October 29, 1998
SANFORD C. BERNSTEIN & CO., INC.
Primary Firm SEC Registration
MILLBURN RIDGEFIELD LLC
CRD#: 148870 / SEC#: 801-60938, 8-68078
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
Current Firm
MILLBURN RIDGEFIELD LLC
CRD#: 148870 / SEC#: 801-60938, 8-68078
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MILLBURN CAPITAL LLC | SHAREHOLDER | |
| BEKER, HARVEY | CHAIRMAN | 4504572 |
| BUCKBINDER, GREGG RICHARD | CFO & FINOP, BROKER DEALER | 1899709 |
| BUCKBINDER, GREGG RICHARD | PRESIDENT, CHIEF OPERATING OFFICER | 1899709 |
| FELSENTHAL, STEVEN MARC | GENERAL COUNSEL/ CCO/ CEO OF THE BROKER DEALER | 4782179 |
| FITZSIMMONS, MARK BRUCE | SENIOR VICE PRESIDENT | 1613090 |
| GOODMAN, BARRY ALAN | CO-CHIEF EXECUTIVE OFFICER, EXECUTIVE DIRECTOR OF TRADING | 1785846 |
| SMITH, GRANT NORMAN | CO-CHIEF EXECUTIVE OFFICER | 2230525 |
| WU, ILON | CHIEF FINANCIAL OFFICER | 7245039 |
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 8,966,474,162 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/13/2025 | ||
| 12/24/2024 | ||
| 11/09/2023 | ||
| 09/19/2022 |
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.
