Roger Brigati, financial advisor Commack NY

Roger Brigati

CRD Number: 3095768
Current Firm: J.p. Morgan Securities LLC

Roger Brigati (CRD# 3095768) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Commack, NY and has over 11 years of experience in the finance industry. Roger Brigati has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Jp Morgan Securities, LLC Commack, NY Oct 2016 - Current 7
Hsbc Bank Usa, N.a. East Setauket, NY Aug 2016 - Sep 2016 < 1
Hsbc Securities (usa) Inc. East Setauket, NY Jun 2015 - Aug 2016 1
Hsbc Securities (usa) Inc. East Setauket, NY Apr 2015 - Jun 2015 < 1
Hsbc Securities (usa) Inc. East Setauket, NY Nov 2014 - Apr 2015 < 1
Citigroup New York, NY Oct 2013 - Oct 2014 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2012
S65 NASAA Investment Advisors Law Examination Jun 2012
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Roger G. Brigati
Phone Number: 800-999-2000
Registered State(s):
  • NJ
  • NY
  • NC
By the Numbers
  • Total Assets Under Management
    212,929
    MILLIONS
  • Total Number of Accounts
    982,795
    ACCOUNTS
  • Average Account Value
    $216,656
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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, WY

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