Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Felberbaum is a financial advisor currently associated with Oppenheimer & Co. Inc.. Roger has been working in the financial industry for over 50 years, starting his career in 1965. Prior to joining Oppenheimer, Roger was with RBC Capital Markets LLC for over 10 years. Roger holds Series 4, 7TO, 12 and 63 licenses and is registered in 14 states, including California, Connecticut, District of Columbia, Florida, Georgia, Illinois, Louisiana, Maryland, Massachusetts, New Jersey, New York, and Texas.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
11/29/2018 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
12/08/2005 - 11/16/2018
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
MD
03/23/2001 - 12/19/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
04/26/1984 - 03/23/2001
ING BARINGS LLC (NEW YORK NY)
NA
06/15/1977 - 03/12/1984
LEHMAN BROTHERS INTERNATIONAL SALES, INC.
NA
03/22/1965 - 03/12/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
NA
04/08/1975 - 02/22/1978
LEHMAN BROTHERS INCORPORATED
NA
03/24/1965 - 03/20/1975
ABRAHAM & CO., INC.
BC
Issued 05/20/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/19/1993
Series 4 - Registered Options Principal Examination
BC
Issued 12/09/1976
Series 12 - NYSE Branch Manager Examination
BC
Issued 04/09/1973
Series 00 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/31/1977
PC - AMEX Put and Call Exam
BC
Issued 03/22/1965
Series 000 - General Securities Principal Examination
BC
Issued 03/22/1965
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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