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Roger Thomas Briggs

Rabo Securities USA, Inc.

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About Roger Thomas Briggs

Roger Briggs is a financial professional with over 30 years of experience in the industry. Roger is currently registered with Rabo Securities USA, Inc. Prior to that, Roger was associated with a number of other firms including Canaccord Genuity LLC., Lampert Capital Markets Inc., Mesirow Financial, Inc., VelocityHealth Securities, Inc., Morgan Joseph & Co. Inc., ABN AMRO Incorporated, ING Barings LLC, SunTrust Equitable Securities and Salomon Brothers Inc. Roger has a broad range of experience in the financial services industry, and is dedicated to helping his clients achieve their financial goals.

Firm Information

Roger Briggs is currently registered with Rabo Securities USA, Inc.. Rabo Securities USA, Inc. is a corporation that was formed on March 22, 1999. They are registered with the SEC and in all 50 states, the District of Columbia, and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

120

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 Briggs’s Registration & Firm History

NY

02/23/2019 - Present

Rabo Securities USA, Inc. (NEW YORK NY)

TN

05/26/2015 - 05/14/2018

CANACCORD GENUITY LLC. (Nashville TN)

NY

02/25/2015 - 05/27/2015

LAMPERT CAPITAL MARKETS INC. (NY NY)

IL

04/14/2014 - 09/16/2014

MESIROW FINANCIAL, INC. (CHICAGO IL)

TN

08/25/2009 - 06/12/2012

VELOCITYHEALTH SECURITIES, INC. (NASHVILLE TN)

TN

06/15/2001 - 06/05/2009

MORGAN JOSEPH & CO. INC. (NASHVILLE TN)

CT

04/30/2001 - 07/25/2001

ABN AMRO INCORPORATED (STAMFORD CT)

NY

05/16/2000 - 04/30/2001

ING BARINGS LLC (NEW YORK NY)

GA

10/02/1994 - 09/09/1999

SUNTRUST EQUITABLE SECURITIES (ATLANTA GA)

MD

06/07/1989 - 02/25/1993

BT SECURITIES CORPORATION (BALTIMORE MD)

NY

05/20/1986 - 04/06/1989

SALOMON BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/08/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/08/1995

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 05/14/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/17/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Roger Thomas Briggs.
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