DR
Douglas H. Roper
STATE STREET GLOBAL MARKETS
Boston, MA 02114-2016
Some features on this profile are disabled
CRD#: 3213108
DR
Professional summary
Douglas Harrisionblake Roper, who also goes by Blake Roper, Douglas Harrison Blake Roper, is a registered financial professional currently at STATE STREET GLOBAL MARKETS, LLC located in Boston, Massachusetts.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1999. Douglas has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Blake Roper | Douglas Harrison Blake Roper
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.
CRS (Client Relationship Summary) - BD
Click below to view Douglas Harrisionblake Roper's 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®
NoneExperience
Current
May 1, 2017 - Present
STATE STREET GLOBAL MARKETS, LLC
Office #1: One Congress Street, Suite 1, Boston, MA 02114-2016BD
CRD#: 285852
Boston, MA
Past
April 19, 2000 - May 1, 2017
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
Past
August 12, 1999 - April 11, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/1/2017)
RR
Alaska(5/1/2017)
RR
Arizona(5/1/2017)
RR
Arkansas(5/1/2017)
RR
California(5/1/2017)
RR
Colorado(5/1/2017)
RR
Connecticut(5/1/2017)
RR
Delaware(5/1/2017)
RR
District of Columbia(5/1/2017)
RR
Florida(5/1/2017)
RR
Georgia(5/1/2017)
RR
Hawaii(5/1/2017)
RR
Idaho(5/1/2017)
RR
Illinois(5/1/2017)
RR
Indiana(5/1/2017)
RR
Iowa(5/1/2017)
RR
Kansas(5/1/2017)
RR
Kentucky(5/1/2017)
RR
Louisiana(5/1/2017)
RR
Maine(5/1/2017)
RR
Maryland(5/1/2017)
RR
Massachusetts(5/1/2017)
RR
Michigan(5/1/2017)
RR
Minnesota(5/1/2017)
RR
Mississippi(5/1/2017)
RR
Missouri(5/1/2017)
RR
Montana(5/1/2017)
RR
Nebraska(5/1/2017)
RR
Nevada(5/1/2017)
RR
New Hampshire(5/1/2017)
RR
New Jersey(5/1/2017)
RR
New Mexico(5/1/2017)
RR
New York(5/1/2017)
RR
North Carolina(5/1/2017)
RR
North Dakota(5/1/2017)
RR
Ohio(5/1/2017)
RR
Oklahoma(5/1/2017)
RR
Oregon(5/1/2017)
RR
Pennsylvania(5/1/2017)
RR
Puerto Rico(5/1/2017)
RR
Rhode Island(5/1/2017)
RR
South Carolina(5/1/2017)
RR
South Dakota(5/1/2017)
RR
Tennessee(5/1/2017)
RR
Texas(5/1/2017)
RR
Utah(5/1/2017)
RR
Vermont(5/1/2017)
RR
Virginia(5/1/2017)
RR
Washington(5/1/2017)
RR
West Virginia(5/1/2017)
RR
Wisconsin(5/1/2017)
RR
Wyoming(5/1/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/6/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
SS
STATE STREET GLOBAL MARKETS, LLC
STATE STREET GLOBAL MARKETS, LLC | STATE STREET NEWCO, LLC
CRD#: 285852 / SEC#: , 8-69862
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Mailing Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Phone number
(617) 664-3619
Established
Delaware since 10/07/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET CORPORATION | PARENT COMPANY | |
| BAMBINO, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 4237874 |
| CHARLAND, JOSEPH LEONARD | DIRECTOR | 5183891 |
| FISCHER, MARTIN ROBERT | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1692872 |
| FORTUNA, GREGORY PAUL | DIRECTOR | 3168105 |
| MAXHAM, DAVID GOULD | DIRECTOR | 6372664 |
| MCKEON, ROBERT A | DIRECTOR | 7638847 |
| MORGAN, DANIEL ROBERT | CHIEF EXECUTIVE OFFICER | 2743457 |
| SIGLAIN, TARYN ANN | DIRECTOR | 5163466 |
| SOR, LY | DIRECTOR | 7996223 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
Disclosures
| Regulatory Event | 4 |
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
STATE STREET GLOBAL MARKETS, LLC
CRD#: 285852Boston, MA 02114-2016TRUST BUT VERIFY
Monitor Douglas Roper
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
