CR
Claudius Roether
FEARNLEY SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 7629018
CR
Professional summary
Claudius Roether is a registered financial professional currently at FEARNLEY SECURITIES located in New York, New York.
Claudius is registered as a RR (Registered Representative) and started their career in finance in 2022. Claudius has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO, SIE and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Claudius Roether'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®
NoneExperience
Current
October 5, 2022 - Present
FEARNLEY SECURITIES
Office #1: 885 Third Avenue 26th Floor, New York, NY 10022BD
CRD#: 174133
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
Arizona(1/4/2023)
RR
California(1/4/2023)
RR
Colorado(1/4/2023)
RR
Connecticut(1/4/2023)
RR
Delaware(1/4/2023)
RR
Florida(1/4/2023)
RR
Georgia(1/4/2023)
RR
Illinois(1/4/2023)
RR
Iowa(1/4/2023)
RR
Kansas(1/4/2023)
RR
Louisiana(1/4/2023)
RR
Maryland(1/4/2023)
RR
Massachusetts(1/4/2023)
RR
Minnesota(1/4/2023)
RR
Nebraska(1/4/2023)
RR
Nevada(1/4/2023)
RR
New Jersey(1/4/2023)
RR
New Mexico(1/4/2023)
RR
New York(10/21/2022)
RR
North Carolina(1/4/2023)
RR
Ohio(1/4/2023)
RR
Oklahoma(1/4/2023)
RR
Pennsylvania(1/4/2023)
RR
Rhode Island(1/4/2023)
RR
South Dakota(1/4/2023)
RR
Texas(1/4/2023)
RR
Utah(1/4/2023)
RR
Virginia(1/4/2023)
RR
Washington(1/4/2023)
RR
Wisconsin(1/4/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 10/14/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 10/5/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FS
FEARNLEY SECURITIES
FEARNLEY SECURITIES | FEARNLEY SECURITIES, INC
CRD#: 174133 / SEC#: , 8-69566
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
885 Third Avenue 26th Floor, New York, NY 10022
Mailing Address
885 Third Avenue 26th Floor, New York, NY 10022
Phone number
(212) 277-3600
Established
New York since 10/01/2014
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (31 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEARNLEY SECURITIES AS | 100% OWNER | |
| BAKKE, CECILIE HELENE | CHIEF COMPLIANCE OFFICER | 7477246 |
| FINK, JASON PETER | PRINCIPAL, CEO | 2550196 |
| HAHNE, PONTUS TORBJORN | MEMBER OF THE BOARD OF DIRECTORS | 7651222 |
| RASMUSSEN, JOACHIM | MEMBER OF THE BOARD OF DIRECTORS | 7498636 |
| ROETHER, CLAUDIUS | INVESTMENT BANKING PRINCIPAL | 7629018 |
| SHAW, ANTHONY | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 7338445 |
| VABO, RIKARD | MEMBER OF THE BOARD OF DIRECTORS | 7253168 |
| WESSEL, PETER | CHAIRMAN OF THE BOARD OF DIRECTORS | 6495105 |
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.
