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RT

Roxanne F. Trager

WEDBUSH SECURITIES
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 7472592
RT

Professional summary

Roxanne Fang-chiao Trager is a registered financial professional currently at WEDBUSH SECURITIES INC. located in San Francisco, California and WEDBUSH & CO., LLC located in San Francisco, California.

Roxanne is registered as a RR (Registered Representative) and started their career in finance in 2022. Roxanne has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Roxanne Fang-chiao Trager's 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

February 14, 2022 - Present

WEDBUSH SECURITIES INC.

Office #1: 600 Montgomery Street 29th Floor, San Francisco, CA 94111
RIA
BD
CRD#: 877
San Francisco, CA
Current

February 7, 2024 - Present

WEDBUSH & CO., LLC

Office #1: 600 Montgomery Street 29th Floor, San Francisco, CA 94111
BD
CRD#: 328492
San Francisco, CA

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
Arizona
(4/5/2022)
RR
California
(4/5/2022)
RR
Colorado
(4/5/2022)
RR
Connecticut
(4/5/2022)
RR
Florida
(4/5/2022)
RR
Illinois
(4/5/2022)
RR
Maryland
(4/5/2022)
RR
Massachusetts
(4/5/2022)
RR
Michigan
(4/7/2025)
RR
Minnesota
(2/9/2024)
RR
Nevada
(4/18/2022)
RR
New Jersey
(4/5/2022)
RR
New York
(4/5/2022)
RR
North Carolina
(4/5/2022)
RR
Pennsylvania
(4/5/2022)
RR
Texas
(4/5/2022)
RR
Utah
(4/5/2022)
RR
Virginia
(4/5/2022)
RR
Washington
(4/5/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 3/7/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/14/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/14/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

W&
WEDBUSH & CO., LLC
WEDBUSH & CO., LLC

CRD#: 328492 / SEC#: , 8-71158

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

Main Address
142 West 57th Street 12th Floor, New York, NY, 10019
Mailing Address
142 West 57th Street 12th Floor, New York, NY, 10019
Phone number
(212) 931-7088
Established
Delaware since 06/23/2021
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WEDBUSH FINANCIAL SERVICES, LLCSOLE MEMBER
BILLINGS, DANIEL ERICMANAGER4568232
BULGER, MARK ANDREWCCO5063497
DEMPSEY, FRANCIS BURKEPRESIDENT2428325
DRUCH, ANDREW WALTERMANAGER AND GENERAL COUNSEL1688071
HULTGREN, DONALD WAYNEMANAGER1475369
KIRKMAN, SAMANTHACFO, PFO, COO & POO6892438
WEDBUSH, GARY LANCEMANAGER2234455

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

WEDBUSH & CO., LLC

CRD#: 328492San Francisco, CA 94111

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