Roger W. Crosthwait

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CRD#: 500212

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 Wayne Crosthwait, who also goes by Wayne Crosthwait, Roger Wayne Crowthwait, was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 1976. Roger had worked at 19 firms and has passed the Series 63, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Wayne Crosthwait | Roger Wayne Crowthwait

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 16, 2012 - October 3, 2013

OPPENHEIMER & CO. INC.

CRD#: 249

MEMPHIS, TN

Past

May 23, 2011 - May 8, 2012

CITATION FINANCIAL GROUP, L.P.

CRD#: 28305

MEMPHIS, TN

Past

April 29, 2011 - June 1, 2011

W.A. CAPITAL MARKETS

CRD#: 6292

NEW YORK, NY

Past

June 17, 2010 - April 18, 2011

ODEON CAPITAL GROUP LLC

CRD#: 148493

AUSTIN, TX

Past

July 18, 2007 - May 10, 2010

APS FINANCIAL CORPORATION

CRD#: 10033

AUSTIN, TX

Past

August 9, 2006 - July 18, 2007

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

MEMPHIS, TN

Past

June 23, 2004 - July 7, 2006

STERNE, AGEE & LEACH, INC.

CRD#: 791

NASHVILLE, TN

Past

April 24, 2002 - June 22, 2004

SOUTHSTATE SECURITIES CORP.

CRD#: 6950

MEMPHIS (SHELBY), TN

Past

October 24, 2000 - December 4, 2001

LUKEN INVESTMENT GROUP, INC.

CRD#: 47009

NASHVILLE, TN

Past

January 13, 1997 - November 2, 2000

&PARTNERS

CRD#: 3767

NASHVILLE, TN

Past

September 20, 1994 - January 20, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 7, 1993 - September 21, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 8, 1991 - April 22, 1991

ICBA SECURITIES

CRD#: 24088

MEMPHIS, TN

Past

March 1, 1991 - December 16, 1992

VINING-SPARKS IBG, LLC

CRD#: 27502

MEMPHIS, TN

Past

November 16, 1990 - February 27, 1991

CARTY, HARDING & HEARN, INC.

CRD#: 7001

MEMPHIS, TN

Past

May 10, 1990 - November 13, 1990

ICBA SECURITIES

CRD#: 24088

MEMPHIS, TN

Past

May 2, 1990 - November 13, 1990

VINING-SPARKS SECURITIES, INC.

CRD#: 10073

Past

September 18, 1989 - February 9, 1990

CORNERSTONE SECURITIES, INC.

CRD#: 24238

Past

November 17, 1987 - September 12, 1989

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

CRD#: 16493

Past

March 5, 1986 - September 12, 1989

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

CRD#: 16493

Past

November 29, 1983 - June 7, 1984

CARTY, HARDING & HEARN, INC.

CRD#: 7001

Past

November 3, 1980 - January 12, 1983

CARTY, HARDING & HEARN, INC.

CRD#: 7001

Past

July 26, 1976 - September 30, 1980

MUNICIPAL SECURITIES, INCORPORATED

CRD#: 6163

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

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

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/28/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 10/12/1976

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 12/19/1976

Registered Principal Examination

Current Firm

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

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

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Contact information

Main Address

85 Broad Street 22nd Floor, New York, NY 10004

Mailing Address

85 Broad Street 22nd Floor, Ny, NY 10004

Phone number

(212) 668-8000

Established

New York since 12/23/1954

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

2,883

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OPPENHEIMER CO. INC. PART 2A APPENDIX 1 (3/27/2025)

OPPENHEIMER CO. INC. PART 2A OF FORM ADV (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
VINER FINANCE INC.	PARENT CO.
CASSIDY, THOMAS EDWARD	MANAGING DIRECTOR	4502955
GIORDANO, PETER JOHN	MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER	2921308
HARRINGTON, EDWARD PATRICK	EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES	2566682
LOWENTHAL, ALBERT GRINSFELDER	EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L	313519
LOWENTHAL, ROBERT STEVEN	CEO-PRESIDENT-DIRECTOR	1639913
MCNAMARA, DENNIS PATRICK	E.V.P./CLO/SECRETARY	2938486
MOLOKIE JR, LEON E	EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER	1743402
VALENTINO, DOMINIC THOMAS	CHIEF COMPLIANCE OFFICER	6940515
WATKINS, BRAD MICHAEL	DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO	6319251

Regulatory assets under management

Total Number of Accounts	37,605
AUM (Assets Under Management)	$ 32,418,994,154

Disclosures

Regulatory Event	102
Civil Event	1
Arbitration	180
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
10/25/2023	Cover Page	Report
02/24/2023	Cover Page	Report

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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Firm Stability Insights

Roger W. Crosthwait

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITATION FINANCIAL GROUP, L.P.

W.A. CAPITAL MARKETS

ODEON CAPITAL GROUP LLC

APS FINANCIAL CORPORATION

BOK FINANCIAL SECURITIES, INC.

STERNE, AGEE & LEACH, INC.

SOUTHSTATE SECURITIES CORP.

LUKEN INVESTMENT GROUP, INC.

&PARTNERS

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

ICBA SECURITIES

VINING-SPARKS IBG, LLC

CARTY, HARDING & HEARN, INC.

ICBA SECURITIES

VINING-SPARKS SECURITIES, INC.

CORNERSTONE SECURITIES, INC.

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

CARTY, HARDING & HEARN, INC.

CARTY, HARDING & HEARN, INC.

MUNICIPAL SECURITIES, INCORPORATED

Primary Firm SEC Registration

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/28/1979

Series 1

Date: 10/12/1976

Series 40

Date: 12/19/1976

Current Firm

OPPENHEIMER & CO. INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OPPENHEIMER & CO. INC.

TRUST BUT VERIFY

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