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Theodore Roosevelt

Barclays Capital Inc.

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About Theodore Roosevelt

Theodore Roosevelt is an investment professional with over 40 years of experience in the financial industry. Theodore is currently registered with Barclays Capital Inc. and holds the Series 7, 24, 40, 63, and 79 licenses. Theodore has also been registered with Lehman Brothers Inc. and Lehman Brothers Kuhn Loeb Incorporated. Theodore’s career began at Lehman Brothers Kuhn Loeb Incorporated in 1978 and transitioned to Lehman Brothers Inc. in 1984. Theodore has been with Barclays Capital Inc. since 2008.

Firm Information

Theodore Roosevelt is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

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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Theodore Roosevelt’s Registration & Firm History

NY

09/22/2008 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

06/26/1984 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

09/28/1978 - 06/27/1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

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Licenses & Designations

BC

Issued 08/17/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 24 - General Securities Principal Examination

BC

Issued 09/21/1978

Series 40 - Registered Principal Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Theodore Roosevelt.
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