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Roger Dever MacK

Baron Capital, Inc.

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About Roger Dever MacK

Roger Dever MacK is a financial advisor with over 30 years of experience in the industry. Roger is currently registered with Baron Capital, Inc. Roger has held previous positions with Goldman, Sachs & Co., J.P.Morgan Securities Inc., J.P. Morgan Clearing Corp., UBS Securities LLC, SBC Warburg Dillon Read Inc., and OCC Distributors. Roger is licensed to provide securities advice in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. Roger holds the Series 3, 7, and 63 licenses and the Series 65 and SIE exams.

Firm Information

Roger MacK is currently registered with Baron Capital, Inc.. Baron Capital, Inc. is a Corporation that was formed on March 16, 1982. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have been approved for registration with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

57

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Roger MacK’s Registration & Firm History

NY

07/21/2014 - Present

Baron Capital, Inc. (NEW YORK NY)

NY

07/28/2009 - 07/24/2014

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

08/16/2006 - 02/12/2009

J.P.MORGAN SECURITIES INC. (NEW YORK NY)

NY

08/16/2006 - 12/31/2008

J.P. MORGAN CLEARING CORP. (BROOKLYN NY)

NY

06/29/1998 - 08/26/2005

UBS SECURITIES LLC (NEW YORK NY)

CT

07/18/1997 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

NA

02/11/1996 - 07/01/1997

OCC DISTRIBUTORS

NY

04/15/1991 - 07/01/1997

OCC DISTRIBUTORS (NEW YORK NY)

NY

11/23/1988 - 05/16/1990

SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 06/03/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/06/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/19/1988

Series 3 - National Commodity Futures Examination

BC

Issued 11/19/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Roger Dever MacK.
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