Dara Roughley is a registered investment advisor, based in New York, NY, with 9 years of industry experience.
Location
400 Park Avenue, 10th Floor, New York, NY, 10022
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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
Cnr Securities, LLCBroker
June 2018 - Present · 7 yrs 11 mos
RBC Rochdale, LLC
June 2018 - Present · 7 yrs 11 mos
Cnr Securities, LLC
June 2018 - Present · 7 yrs 11 mos
Previous Registrations
Hennion & Walsh Asset Management, INC.
September 2017 - May 2018 · 8 mos
Hennion & Walsh, INC.Broker
September 2016 - May 2018 · 1 yr 8 mos
State Registrations3 states
CANJNY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.