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RB

Roscoe E. Brown

BLUE OWL SECURITIES
San Francisco, CA
Some features on this profile are disabled
CRD#: 6118952
RB

Professional summary

Roscoe Eugene Brown, who also goes by Roscoe E Brown, Roscoe Brown, is a registered financial professional currently at BLUE OWL SECURITIES located in San Francisco, California.

Roscoe is registered as a RR (Registered Representative) and started their career in finance in 2012. Roscoe has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roscoe E Brown | Roscoe Brown

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 Roscoe Eugene Brown'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

November 6, 2022 - Present

BLUE OWL SECURITIES

BD
CRD#: 283250
San Francisco, CA
Past

December 22, 2021 - November 1, 2022

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

BD
CRD#: 313390
Houston, TX
Past

March 5, 2019 - December 22, 2021

BROOKFIELD PRIVATE ADVISORS LLC

BD
CRD#: 151423
Houston, TX
Past

November 7, 2014 - February 27, 2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

January 9, 2014 - November 10, 2014

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

January 8, 2014 - November 10, 2014

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 1, 2013 - December 23, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WOODBURY, NY
Past

December 10, 2012 - December 23, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WOODBURY, NY
Past

September 20, 2012 - November 5, 2012

COMMERCE ONE FINANCIAL INC.

BD
CRD#: 100340
SYOSSET, NY

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(11/6/2022)
RR
Alaska
(11/6/2022)
RR
Arizona
(11/6/2022)
RR
Arkansas
(11/6/2022)
RR
California
(11/6/2022)
RR
Colorado
(11/6/2022)
RR
Connecticut
(11/6/2022)
RR
Delaware
(11/6/2022)
RR
District of Columbia
(11/6/2022)
RR
Florida
(11/6/2022)
RR
Georgia
(11/6/2022)
RR
Hawaii
(11/6/2022)
RR
Idaho
(11/6/2022)
RR
Illinois
(11/6/2022)
RR
Indiana
(11/6/2022)
RR
Iowa
(11/6/2022)
RR
Kansas
(11/6/2022)
RR
Kentucky
(11/6/2022)
RR
Louisiana
(11/6/2022)
RR
Maine
(11/6/2022)
RR
Maryland
(11/6/2022)
RR
Massachusetts
(11/6/2022)
RR
Michigan
(11/6/2022)
RR
Minnesota
(11/6/2022)
RR
Mississippi
(11/6/2022)
RR
Missouri
(11/6/2022)
RR
Montana
(11/6/2022)
RR
Nebraska
(11/6/2022)
RR
Nevada
(11/6/2022)
RR
New Hampshire
(11/6/2022)
RR
New Jersey
(11/6/2022)
RR
New Mexico
(11/6/2022)
RR
New York
(11/6/2022)
RR
North Carolina
(11/7/2022)
RR
North Dakota
(11/6/2022)
RR
Ohio
(11/6/2022)
RR
Oklahoma
(11/6/2022)
RR
Oregon
(11/6/2022)
RR
Pennsylvania
(11/6/2022)
RR
Puerto Rico
(11/6/2022)
RR
Rhode Island
(11/6/2022)
RR
South Carolina
(11/6/2022)
RR
South Dakota
(11/6/2022)
RR
Tennessee
(11/6/2022)
RR
Texas
(11/6/2022)
RR
Utah
(11/6/2022)
RR
Vermont
(11/6/2022)
RR
Virginia
(11/6/2022)
RR
Washington
(11/6/2022)
RR
West Virginia
(11/6/2022)
RR
Wisconsin
(11/6/2022)
RR
Wyoming
(11/6/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/27/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/30/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BLUE OWL CAPITAL GROUP LLCSOLE MEMBER
AMATO, KERRI ANNCHIEF COMPLIANCE OFFICER4710835
CONNOR, SEAN RICHARDPRESIDENT AND CHIEF EXECUTIVE OFFICER6019182
DIRESTA, ANDREWFINOP7459031

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.

Company Information

BLUE OWL SECURITIES

CRD#: 283250San Francisco, CA

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