Donald Roger B. Liddell
Professional summary
Donald Roger Brooke Liddell, who also goes by Donald Roger Liddell, Donald Roger Brooke Liddell, Donaldroger Brooke Liddell, D. Roger B. Liddell, Drb Liddell, Roger B Liddell, Roger Liddell, is a registered financial advisor currently at CLEAR HARBOR ASSET MANAGEMENT, LLC located in Stamford, Connecticut.
Donald Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Donald Roger has worked at 6 firms and has passed the Series 63, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Donald Roger Brooke Liddell's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 14, 2020 - Present
CLEAR HARBOR ASSET MANAGEMENT, LLC
Office #1: 263 Tresser Blvd. Suite 1502, Stamford, CT 06901February 29, 1988 - May 7, 2010
INGALLS & SNYDER, LLC
February 1, 1988 - February 23, 1988
INGALLS & SNYDER, LLC
October 22, 1984 - February 10, 1988
ALEX. BROWN & SONS INCORPORATED
April 10, 1978 - October 23, 1984
TUCKER ANTHONY INCORPORATED
July 28, 1976 - May 6, 1978
JESUP & LAMONT SECURITIES CO., INC.
January 17, 1974 - August 30, 1976
LEGG MASON WOOD WALKER, INCORPORATED
Primary Firm SEC Registration
CLEAR HARBOR ASSET MANAGEMENT, LLC
CRD#: 152242 / SEC#: 801-70821
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/14/2020)
Exams
PC
Date: 8/19/1977
AMEX Put and Call ExamSeries 1
Date: 1/14/1974
Registered Representative ExaminationCurrent Firm
CLEAR HARBOR ASSET MANAGEMENT, LLC
CRD#: 152242 / SEC#: 801-70821
Contact information
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,667 |
| AUM (Assets Under Management) | $ 1,742,800,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 01/23/2024 | ||
| 01/06/2023 | ||
| 04/28/2022 |
Red Flags
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