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Roger Bruce Palley

First Foundation Advisors

Irvine, CA

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Current Employers
First Foundation Advisors

18101 Von Karman Ave Suite 700, Irvine, CA 92612-1051 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-01-14
TX RA APPROVED 2013-11-22
  • CA RA
    APPROVED
    Since 2026-01-14
  • TX RA
    APPROVED
    Since 2013-11-22

Branch Locations

18101 Von Karman Ave Suite 700, Irvine, CA 92612-1051 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Foundation Advisors Irvine CA 11/2009 Present
Previous Registrations
  • 2002-10-31 → 2009-11-25
    Neuberger Berman Bd Llc
    Newport Beach, CA
    New York, NY
    Newport Beach, CA
  • 2002-09-06 → 2002-11-13
    Wells Fargo Investments, Llc
    Newport Beach, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-19
S63 Uniform Securities Agent State Law Examination 1990-12-18
  • S66 Uniform Combined State Law Examination
    2002-08-19
  • S63 Uniform Securities Agent State Law Examination
    1990-12-18
Designations

View on SEC IAPD

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