Roger A. Brundage

LIBERTY CAPITAL INVESTMENT

Portland, OR 97201

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CRD#: 33605

Professional summary

Roger Alwyn Brundage is a registered financial professional currently at LIBERTY CAPITAL INVESTMENT CORPORATION located in Portland, Oregon.

Roger is registered as a RR (Registered Representative) and started their career in finance in 1968. Roger has worked at 6 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 1, Series 27 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 Alwyn Brundage'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

September 8, 2004 - Present

LIBERTY CAPITAL INVESTMENT CORPORATION

Office #1: 1800 Sw 1st Ave Suite 150, Portland, OR 97201

RIA

CRD#: 25706

Portland, OR

Past

August 26, 1993 - May 12, 2005

ALPEN SECURITIES, INC.

CRD#: 7434

ALOHA, OR

Past

May 19, 1988 - September 7, 1993

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

CRD#: 1254

PORTLAND, OR

Past

May 8, 1984 - May 20, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

June 14, 1971 - May 7, 1984

FOSTER & MARSHALL INC.

CRD#: 321

Past

August 14, 1968 - July 11, 1971

DUPONT WALSTON, INCORPORATED

CRD#: 870

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

Arizona
(11/29/2017)

California
(9/8/2004)

Oregon
(9/27/2004)

Washington
(9/8/2004)

Exams

State Security Law Exam

Series 63

Date: 7/9/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 3/30/1967

Registered Representative Examination

Principal/Supervisory Exam

Series 27

Date: 3/11/1994

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/23/1994

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LIBERTY CAPITAL INVESTMENT CORPORATION

LIBERTY CAPITAL | LIBERTY CAPITAL INVESTMENT CORPORATION

CRD#: 25706 / SEC#: , 8-42051

Arizona

Registered Investment Advisory firm - SEC (8/3/2022 Terminated)

California

Registered Investment Advisory firm - SEC (9/2/2022 Terminated)

Oregon

Registered Investment Advisory firm - SEC (4/24/2009 Approved)

Texas

Registered Investment Advisory firm - SEC (8/3/2022 Terminated)

Washington

Registered Investment Advisory firm - SEC (4/20/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1618 Sw First Ave. Ste. 425, Portland, OR 97201

Mailing Address

1618 Sw First Ave. Suite 425, Portland, OR 97201

Phone number

(503) 225-9393

Established

Oregon since 10/11/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (11 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
PURPURA, GARY FRANK	PRESIDENT/CEO/CCO/CFO	368952
REEL, ANTHONY ALLEN	SHAREHOLDER / REGISTERED REPRESENTATIVE	4388993
REEL, STEFANIE ANN	SECRETARY/TREASURER/MANAGER	4410781
BRUNDAGE, ROGER ALWYN	SHAREHOLDER / REGISTERED REPRESENTATIVE	33605
WALKER, ROBERT ALLEN	SHAREHOLDER / REGISTERED REPRESENTATIVE	1501658

Regulatory assets under management

Total Number of Accounts	190
AUM (Assets Under Management)	$ 78,074,006

Red Flags

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Firm Stability Insights

Roger A. Brundage

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Alwyn Brundage's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPEN SECURITIES, INC.

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

LEHMAN BROTHERS INC.

FOSTER & MARSHALL INC.

DUPONT WALSTON, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/9/1984

Series 99TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 3/30/1967

Series 27

Date: 3/11/1994

Series 24

Date: 2/23/1994

FINRA

Current Firm

LIBERTY CAPITAL INVESTMENT CORPORATION

Contact information

FINRA licenses (11 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

LIBERTY CAPITAL INVESTMENT CORPORATION

TRUST BUT VERIFY

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