Roger Forman is a registered investment advisor, based in New York, NY, with 14 years of industry experience.
Location
Citi Private Bank, 388 Greenwich Street, 30th Floor, New York, NY, 10013
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Citigroup Global Markets INC.Broker
June 2022 - Present · 4 yrs 1 mo
Citigroup Global Markets INC.
June 2022 - Present · 4 yrs 1 mo
Citi Private Alternatives, LLC
June 2022 - Present · 4 yrs 1 mo
Citi Private Alternatives, LLCBroker
June 2022 - Present · 4 yrs 1 mo
Citigroup Global Markets INC.
June 2022 - Present · 4 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLC
May 2020 - June 2022 · 2 yrs 1 mo
Wells Fargo Clearing Services, LLCBroker
May 2020 - June 2022 · 2 yrs 1 mo
Hsbc Securities (USA) INC.
December 2013 - January 2020 · 6 yrs 1 mo
Hsbc Securities (USA) INC.Broker
November 2013 - January 2020 · 6 yrs 2 mos
J.D. Nicholas & Associates, INC.Broker
July 2013 - October 2013 · 3 mos
C.K. Cooper & Company, INC.Broker
October 2012 - July 2013 · 9 mos
Ekn Financial Services INC.Broker
October 2011 - September 2012 · 11 mos
First Midwest Securities, INC.Broker
June 2011 - October 2011 · 4 mos
State Registrations40 states
ALARAZCACOCTDCDEFLGAHIIDILINKSKYLAMAMIMNMOMSNCNHNJNVNYOHOKORPAPRRISCTNVTVirgin IslandsWAWIWV
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.