Roger B. Palley
Professional summary
Roger Bruce Palley is a registered financial advisor currently at FIRST FOUNDATION ADVISORS located in Irvine, California.
Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Roger has worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Roger Bruce Palley's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2011 - Present
FIRST FOUNDATION ADVISORS
Office #1: 18101 Von Karman Ave Suite 700, Irvine, CA 92612-1051October 31, 2002 - November 25, 2009
NEUBERGER BERMAN BD LLC
October 31, 2002 - November 25, 2009
NEUBERGER BERMAN BD LLC
September 6, 2002 - November 13, 2002
WELLS FARGO INVESTMENTS, LLC
June 12, 2002 - November 13, 2002
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
FIRST FOUNDATION ADVISORS
CRD#: 106075 / SEC#: 801-35973
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/31/2011)
(11/22/2013)
Exams
Current Firm
FIRST FOUNDATION ADVISORS
CRD#: 106075 / SEC#: 801-35973
Contact information
SEC notice filing (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,945 |
| AUM (Assets Under Management) | $ 5,445,880,088 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 12/04/2024 | ||
| 09/27/2024 | ||
| 08/30/2023 | ||
| 02/28/2023 |
Red Flags
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