Roger Nmn Paradiso

Current Employers

Employment History

• 01/2016 → Present
  Franklin Distributors Llc
  Stamford, CT
• 01/2016 → 07/2021
  Legg Mason & Co Llc
  Stamford, CT
• 01/2016 → 04/2017
  Clearbridge Investments
  New York, NY
• 04/2017 → 11/2022
  Financial Guard, Llc
  Salt Lake, UT
• 06/2022 → Present
  O'SHaughnessy Asset Management, Llc
  Stamford, CT
• 08/2020 → Present
  Legg Mason & Co., Llc
  Stamford, CT
• 04/2021 → Present
  Fiduciary Trust Company International
  New York, NY
• 03/2023 → 12/2025
  Franklin Managed Options Strategies Llc
  San Mateo, CA

Previous Registrations

• 2017-04-26 → 2022-11-30
  Financial Guard, Llc
  Salt Lake City, UT
• 2016-03-04 → 2017-04-26
  Clearbridge Investments, Llc
  New York, NY
• 2009-06-01 → 2015-10-13
  Morgan Stanley
  Purchase, NY
  New York, NY
• 2008-04-01 → 2009-06-01
  Citigroup Global Markets Inc.
  New York, NY
  Stamford, CT
• 2005-12-19 → 2008-04-09
  Clearbridge Investments, Llc
  New York, NY
• 2002-05-24 → 2005-12-21
  Citigroup Global Markets Inc.
  Stamford, CT

Other Businesses

1. Money Management Institute, Washington, DC; Board of Governors / Chairman Emeritus; Began 2005 - Present; Investment Related; Approx. 4 hours per month during normal securities trading hours. 2.Stone Home, LLC; Greenwich, CT; Consulting; began in Oct 2015 - currently inactive. 3. Morgan Stanley Donor Advised Fund; Board Member; Began in 2015; Non-profit; Approx. 3 hours per month during normal securities trading hours. 4. Eaglebrook Advisors; Miami, FL, Advisor of industry trends and ideas; Investment Related; beg. 7/1/2022; approx. 1 hour per quarter, not during normal securities trading hours

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-11-18
• S65 Uniform Investment Adviser Law Examination
  1994-11-16

Other Names

• Roger Paradiso