Gary L. Rozier

BLUE OWL SECURITIES

Chicago, IL 60606

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CRD#: 3275393

Professional summary

Gary Lydell Rozier, who also goes by Gary L Rozier, Gary L Rozier-spivey, Gary L Spivey, is a registered financial professional currently at BLUE OWL SECURITIES located in Chicago, Illinois.

Gary is registered as a RR (Registered Representative) and started their career in finance in 2000. Gary has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gary L Rozier | Gary L Rozier-Spivey | Gary L Spivey

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 Gary Lydell Rozier'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

February 1, 2022 - Present

BLUE OWL SECURITIES

Office #1: 150 N Riverside, Chicago, IL 60606

CRD#: 283250

Chicago, IL

Past

October 12, 2006 - July 22, 2019

ARIEL INVESTMENTS, LLC

RIA

CRD#: 108211

CHICAGO, IL

Past

February 7, 2006 - July 22, 2019

ARIEL DISTRIBUTORS, LLC

CRD#: 38333

CHICAGO, IL

Past

April 16, 2001 - January 9, 2006

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

ROCKVILLE, MD

Past

January 17, 2000 - September 6, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 17, 2000 - September 6, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

State Registrations and Notice Filings

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

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

Alabama
(3/8/2022)

Alaska
(3/4/2022)

Arizona
(3/4/2022)

Arkansas
(3/3/2022)

California
(2/1/2022)

Colorado
(3/3/2022)

Connecticut
(2/1/2022)

Delaware
(5/3/2022)

District of Columbia
(3/9/2022)

Florida
(3/7/2022)

Georgia
(3/3/2022)

Hawaii
(3/8/2022)

Idaho
(3/2/2022)

Illinois
(3/3/2022)

Indiana
(3/4/2022)

Iowa
(2/1/2022)

Kansas
(2/3/2022)

Kentucky
(3/4/2022)

Louisiana
(3/14/2022)

Maine
(2/1/2022)

Maryland
(2/1/2022)

Massachusetts
(2/2/2022)

Michigan
(3/2/2022)

Minnesota
(3/8/2022)

Mississippi
(3/4/2022)

Missouri
(2/1/2022)

Montana
(2/8/2022)

Nebraska
(3/9/2022)

Nevada
(3/9/2022)

New Hampshire
(3/9/2022)

New Jersey
(5/26/2022)

New Mexico
(3/3/2022)

New York
(3/9/2022)

North Carolina
(2/1/2022)

North Dakota
(3/8/2022)

Ohio
(2/1/2022)

Oklahoma
(3/7/2022)

Oregon
(2/2/2022)

Pennsylvania
(2/1/2022)

Puerto Rico
(11/7/2022)

Rhode Island
(3/8/2022)

South Carolina
(3/9/2022)

South Dakota
(3/8/2022)

Tennessee
(3/3/2022)

Texas
(2/15/2022)

Utah
(2/2/2022)

Vermont
(3/4/2022)

Virginia
(3/3/2022)

Washington
(3/8/2022)

West Virginia
(3/7/2022)

Wisconsin
(2/1/2022)

Wyoming
(2/4/2022)

Exams

State Security Law Exam

Series 63

Date: 1/24/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/8/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/14/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

BLUE OWL SECURITIES

BLUE OWL SECURITIES | OWL ROCK SECURITIES | OWL ROCK CAPITAL SECURITIES LLC | BLUE OWL SECURITIES LLC

CRD#: 283250 / SEC#: , 8-69744

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

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Contact information

Main Address

375 Park Avenue, New York, NY 10152

Mailing Address

375 Park Avenue 4th Floor, New York, NY 10152

Phone number

(212) 419-3000

Established

Delaware since 12/17/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BLUE OWL CAPITAL GROUP LLC	SOLE MEMBER
AMATO, KERRI ANN	CHIEF COMPLIANCE OFFICER	4710835
CONNOR, SEAN RICHARD	PRESIDENT AND CHIEF EXECUTIVE OFFICER	6019182
DIRESTA, ANDREW	FINOP	7459031

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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Gary L. Rozier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gary Lydell Rozier's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARIEL INVESTMENTS, LLC

ARIEL DISTRIBUTORS, LLC

GUGGENHEIM DISTRIBUTORS, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/24/2022

Series 66

Date: 5/8/2002

SIE

Date: 10/1/2018

Series 7

Date: 9/18/2001

Series 6

Date: 1/14/2000

FINRA

Current Firm

BLUE OWL SECURITIES

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BLUE OWL SECURITIES

TRUST BUT VERIFY

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