Roger J. O'donnell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roger John O'donnell, who also goes by Roger J O'donnell, Roger John Odonnell, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 2004. Roger had worked at 4 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2008 - July 18, 2017
ARBOR RESEARCH & TRADING, LLC
April 11, 2007 - September 3, 2008
MIZUHO SECURITIES USA LLC
August 15, 2005 - February 16, 2007
CITIGROUP GLOBAL MARKETS INC.
February 5, 2004 - March 7, 2005
GREAT POINT CAPITAL LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 2/20/2004
Limited Representative-Equity Trader ExamCurrent Firm
ARBOR RESEARCH & TRADING, LLC
CRD#: 21313 / SEC#: , 8-38818
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARBOR RESEARCH HOLDINGS, LLC | OWNER | |
| HANDLER, FRED DAVID JR | CHIEF EXECUTIVE OFFICER & DIRECTOR | 1278354 |
| LUSTIG, DANIEL JAY | EXECUTIVE VICE PRESIDENT | 1496662 |
| MCELWREATH, EDWARD THOMAS | EXECUTIVE VICE PRESIDENT | 1111324 |
| MOISE, MICHAEL PAUL | PRESIDENT, FINOP & DIRECTOR | 5910037 |
| MOISE, MICHAEL PAUL | CHIEF COMPLIANCE OFFICER | 5910037 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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