Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Forman is an investment advisor representative with Citigroup Global Markets Inc. Roger Forman has been in the industry since December 24, 2011 and has a total of 25 approved SRO registrations, 1 approved FINRA registration, 38 approved state registrations and 1 approved IA state registration. Roger Forman specializes in various investment options including Mutual Funds and Variable Annuities, Variable Life Insurance, Retirement Planning, College Savings Plans, Annuities, and Equity. Roger Forman was previously registered with Wells Fargo Clearing Services, LLC, HSBC Securities (USA) Inc., J.D. Nicholas & Associates, Inc., C.K. Cooper & Company, Inc., EKN Financial Services Inc., and First Midwest Securities, Inc.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
1
2
NY
06/22/2022 - Present
Citigroup Global Markets Inc. (New York NY)
NY
05/06/2020 - 06/10/2022
WELLS FARGO CLEARING SERVICES, LLC (NEW YORK NY)
NY
11/25/2013 - 01/16/2020
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
07/09/2013 - 10/23/2013
J.D. NICHOLAS & ASSOCIATES, INC. (LAKE GROVE NY)
NY
10/16/2012 - 07/01/2013
C.K. COOPER & COMPANY, INC. (MELVILLE NY)
NY
10/13/2011 - 09/27/2012
EKN FINANCIAL SERVICES INC. (MELVILLE NY)
NY
06/29/2011 - 10/11/2011
FIRST MIDWEST SECURITIES, INC. (GARDEN CITY NY)
BOTH
Issued 11/22/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2011
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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