
Roger Forman (CRD# 5946654) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in New York, NY and has over 6 years of experience in the finance industry.
CRD# 5366446
Legacy Care Wealth, LLC
Score
107
CRD# 832532
Altium Wealth Management LLC
Score
107
CRD# 5973991
Cfs Investment Advisory Services LLC
Score
107
Company Name | Location | Dates | Years |
---|---|---|---|
Hsbc Bank Usa, N.a. | New York, NY | Dec 2014 - Current | 3 |
Hsbc Securities (usa) Inc. | New York, NY | Dec 2014 - Current | 3 |
Country Spin Homes | Locust, NC | Jun 2006 - Current | 11 |
Hsbc Securities (usa) Inc. | Massapequa, NY | Nov 2013 - Dec 2014 | 1 |
Hsbc Bank Usa, N.a. | Massapequa, NY | Oct 2013 - Dec 2014 | 1 |
J.d. Nicholas & Associates, Inc. | Lake Grove, NY | Jul 2013 - Oct 2013 | < 1 |
C. K. Cooper & Company | Melville, NY | Oct 2012 - Jul 2013 | < 1 |
Ekn Financial Services, Inc. | Melville, NY | Oct 2011 - Oct 2012 | 1 |
First Midwest Securities | Garden City, NY | Jun 2011 - Oct 2011 | < 1 |
Risa Management Corp | Westbury, NY | Oct 2009 - Jun 2010 | < 1 |
Exam Code | Name | Passed Date |
---|---|---|
S66 | NASAA Uniform Combined State Law Examination | Nov 2011 |
- NJ
-
Total Assets Under Management2,974MILLIONS
-
Total Number of Accounts12,328ACCOUNTS
-
Average Account Value$241,245
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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