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Duncan D. Megroz

ARES MANAGEMENT CAPITAL MARKETS LLC
Charleston, SC 29403
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CRD#: 6482151
DM

Professional summary


Duncan Duncanson Megroz, who also goes by Roger D Megroz, Roger Duncanson Megroz, is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in Charleston, South Carolina.

Duncan is registered as a RR (Registered Representative) and started their career in finance in 2015. Duncan has worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Roger D Megroz | Roger Duncanson Megroz

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 Duncan Duncanson Megroz'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

January 1, 2023 - Present

ARES MANAGEMENT CAPITAL MARKETS LLC

Office #1: 677 King Street 3rd Floor, Charleston, SC, 29403
BD
CRD#: 166219
Charleston, SC
Past

June 24, 2015 - June 28, 2019

PARK HILL GROUP LLC

BD
CRD#: 135898
NEW YORK, 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
(1/6/2023)
RR
Alaska
(1/6/2023)
RR
Arizona
(1/6/2023)
RR
Arkansas
(1/6/2023)
RR
California
(1/6/2023)
RR
Colorado
(1/6/2023)
RR
Connecticut
(1/6/2023)
RR
Delaware
(1/6/2023)
RR
District of Columbia
(1/6/2023)
RR
Florida
(1/6/2023)
RR
Georgia
(1/6/2023)
RR
Hawaii
(1/6/2023)
RR
Idaho
(1/6/2023)
RR
Illinois
(1/6/2023)
RR
Indiana
(1/6/2023)
RR
Iowa
(1/6/2023)
RR
Kansas
(1/6/2023)
RR
Kentucky
(1/6/2023)
RR
Louisiana
(1/6/2023)
RR
Maine
(1/6/2023)
RR
Maryland
(1/6/2023)
RR
Massachusetts
(1/6/2023)
RR
Michigan
(1/6/2023)
RR
Minnesota
(1/6/2023)
RR
Mississippi
(1/6/2023)
RR
Missouri
(1/6/2023)
RR
Montana
(1/6/2023)
RR
Nebraska
(1/6/2023)
RR
Nevada
(1/6/2023)
RR
New Hampshire
(1/6/2023)
RR
New Jersey
(1/6/2023)
RR
New Mexico
(1/6/2023)
RR
New York
(1/6/2023)
RR
North Carolina
(1/6/2023)
RR
North Dakota
(1/6/2023)
RR
Ohio
(1/6/2023)
RR
Oklahoma
(1/6/2023)
RR
Oregon
(1/6/2023)
RR
Pennsylvania
(1/6/2023)
RR
Rhode Island
(1/6/2023)
RR
South Carolina
(1/6/2023)
RR
South Dakota
(1/6/2023)
RR
Tennessee
(1/6/2023)
RR
Texas
(1/6/2023)
RR
Utah
(1/6/2023)
RR
Vermont
(1/6/2023)
RR
Virginia
(1/6/2023)
RR
Washington
(1/6/2023)
RR
West Virginia
(1/6/2023)
RR
Wisconsin
(1/6/2023)
RR
Wyoming
(1/6/2023)

Exams


State Security Law Exam
RR
Series 63
Date: 9/12/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/31/2022
General Securities Representative Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information


Main Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Mailing Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Phone number
(310) 432-8708
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 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#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCOO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
PAWLOWSKI, ANTHONY JOHNPRESIDENT4337887

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


ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219Charleston, SC 29403

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