Roger Paradiso has been Executive Chairman/Principal of O'Shaughnessy Asset Management since June 2022, is a control person of the firm and directly owns under 5% of it.
O'Shaughnessy Asset Management, LLC is a Stamford, CT firm with $19.8B under management, 11,156 clients and 53 advisers in one office, as of its December 2025 filing.
Roger Paradiso’s longest registration was 6 years at Morgan Stanley (2009–2015). Before joining O'Shaughnessy Asset Management in 2022, Roger Paradiso was registered through Financial Guard, LLC and Clearbridge Investments, LLC.
- – present · 4 yearsStamford, CT · Adviser representative · Firm CRD 144594
- Financial Guard, LLC– · 5 yearsSalt Lake City, UT · Adviser representative · Firm CRD 156059
- Clearbridge Investments, LLC– · 1 yearNew York, NY · Adviser representative · Firm CRD 137028
- Morgan Stanley– · 6 yearsNew York, NY · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 1 yearStamford, CT · Adviser representative · Firm CRD 7059
- Clearbridge Advisors, LLC– · 2 yearsNew York, NY · Adviser representative · Firm CRD 137028
- Citigroup Global Markets Inc.– · 3 yearsStamford, CT · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Roger Paradiso is registered as an investment adviser representative in Connecticut, since July 2022.
- ConnecticutSince 22 July 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 15 November 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 18 November 1994 |
| Series 65 | Uniform Investment Adviser Law Examination | 16 November 1994 |
| Series 7 | General Securities Representative Examination | 20 January 1990 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- CRD
- 1988315
- Firm
- O'Shaughnessy Asset Management · CRD 144594
- Role
- Executive Chairman/Principal
- Office
- 100 FIRST STAMFORD PLACE, Stamford, CT 06902
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 1990
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Roger Paradiso work?
Roger Paradiso has been Executive Chairman/Principal of O'Shaughnessy Asset Management, LLC since June 2022, and is a control person of the firm.
Is Roger Paradiso a financial advisor?
Yes. Roger Paradiso has a current investment-adviser registration in Connecticut, through O'Shaughnessy Asset Management since July 2022.
How many years of experience does Roger Paradiso have?
Roger Paradiso has 36 years in the financial industry, since June 1990, across 5 adviser firms.
What exams has Roger Paradiso passed?
Roger Paradiso has passed 4 licensing exams: the Series 7, Series 65, Series 63 and Series 24. The earliest, the Series 7, was passed in January 1990. FINRA credited Roger Paradiso with the SIE, which began in October 2018.
Where did Roger Paradiso work before O'Shaughnessy Asset Management?
Before O'Shaughnessy Asset Management, Roger Paradiso was registered through Clearbridge Investments, LLC, March 2016 to April 2017; Morgan Stanley, June 2009 to October 2015; Citigroup Global Markets Inc., April 2008 to June 2009; Clearbridge Advisors, LLC, December 2005 to April 2008; Citigroup Global Markets Inc., May 2002 to December 2005.
Where is Roger Paradiso based?
Roger Paradiso’s registered office is in Stamford, CT.
Is Roger Paradiso registered with FINRA?
Yes. Roger Paradiso has a current broker registration, under CRD 1988315.
Source: FINRA BrokerCheck
How can I verify Roger Paradiso’s record?
Search CRD 1988315 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Roger Paradiso’s full registration record.
- Christopher LovelessPresident/Principal
- Kristopher SmithChief Operating Officer/Principal
- Raymond Amoroso IIIChief Compliance Officer/Principal
- Scott BartoneChief Product Officer/Co-Head of Investment Management/Portfolio Manager/Principal
- Bradley BerggrenCo-CIO of Canvas Managed Options Strategies/Portfolio Manager/Principal
- Erin FoleyDirector of Trading/Principal
- Rajat GuptaChief Technology Officer/Principal
- Patrick O'ShaughnessyChairman Emeritus
- Jonathan OrseckCo-CIO of Canvas Managed Options Strategies/Portfolio Manager/Principal
- Ari RosenbaumDirector of Private Wealth Solutions/Principal
- Claudine SpenceDirector of Client Service/Principal
- Ehren StanhopeChief Investment Strategist/Co-Head of Investment Management/Portfolio Manager/Principal