Roger C. Brandt
Professional summary
Roger Clifford Brandt is a registered financial professional currently at NEWOAK CAPITAL MARKETS LLC located in New York, New York.
Roger is registered as a RR (Registered Representative) and started their career in finance in 2014. Roger has worked at 2 firms and has passed the Series 63, Series 82TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger Clifford Brandt's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 26, 2021 - Present
NEWOAK CAPITAL MARKETS LLC
Office #1: 3 Columbus Circle 15th Fl., New York, NY, 10019June 4, 2014 - August 23, 2018
ACADEMY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/16/2021)
(4/28/2021)
(12/7/2022)
(10/27/2021)
(7/19/2021)
(6/28/2022)
(6/24/2022)
(7/16/2021)
(8/8/2021)
Exams
Series 82TO
Date: 12/20/2021
Limited Representative-Private Securities OfferingsFINRA
Current Firm
NEWOAK CAPITAL MARKETS LLC
CRD#: 104063 / SEC#: , 8-52532
Contact information
FINRA licenses (9 States and Territories)
Red Flags
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