Services
We provide services as a broker dealer that introduce clients to investment opportunities. Investments that we introduce or broker may not be suitable for retail investors. You should read the offering documentation for an investment prior to making any investment decision.
Manager and Capital Introductions
Our management team has an extensive network of relationships in the investment community which we use to assist established, as well as emerging managers, to grow Assets Under Management. This network also serves as a powerful tool for those searching for managers that match their sector, performance and risk criteria.
Relationship Management
Hewlett Point Securities provides clients a primary point of contact to ensure discretion and a superior brokerage engagement process.
Customized Solutions
Our extensive network and market experience enable Hewlett Point Securities to assist clients in clearing solutions, capital raising, and execution solutions.
Introducing Brokerage
Hewlett Point Securities works together with leading clearing brokers to set up brokerage accounts primarily for Institutions, Family Offices, Advisors, and Individuals.
About Us
Hewlett Point Securities customizes each of our client’s accounts to develop investments and strategies to client specific goals and objectives. We provide a primary nexus to the securities industry and a dedicated point of contact within our firm, reducing noise and imprecision throughout the investing process.
Our Team
Alan Roggen Co-founder and CEO
Mr. Roggen has over 37 years of experience in the field including trading, brokerage, risk management, securities lending, equity finance, compliance, operations and extensive experience in related technology solutions for the US and European markets. Mr. Roggen is a Co-Owner/Co-Founder and CEO of both Hewlett Point Securities, LLC and Hewlett Point Capital, LLC. He is a Co-Owner/Co-Founder, and until September 2019 a Director/Supervisor, of Ceres Securities Limited in London. Ceres Securities Limited was authorized by the FCA in July 2013.
Mr. Roggen has a BA from the State University of New York at Oswego with a major in Economics and Political Science. Over his career, he has been a member of stock, options and futures exchanges including AMEX, NYSE (Options Rights), Eurex Germany, LSE (SEAQ International) London and EOE Amsterdam. He held CF 1 (Director Function), CF 30 (Customer Function) under the FCA in UK and is a Series 30, 32, 7, 63, 65, 24, 4 and 79 in the US. Mr. Roggen is a dual US and UK Citizen.
Robert Raynor Co-founder and COO
Mr. Raynor received a Bachelor of Science from NYU Stern Undergraduate School of Business with a major in Economics. He has been involved in a mix of industries including brokering real estate transactions as a licensed New York State real estate broker and managing a portfolio of Manhattan residential and mixed-use buildings. Mr. Raynor is a Co-Owner/Co-Founder and COO of both Hewlett Point Securities, LLC and Hewlett Point Capital, LLC. He’s managed construction projects as principal and for GC/CMs. He has also been part of the building materials industry, working in the import sector and managing regional distribution networks. Mr. Raynor has the following NFA and FINRA registrations: Series 3, 4, 7, 24, 27, 63 and 65.
Richard Morris Strategic Advisor
Richard Morris has more than 36 years of securities, commodities and capital markets experience. He began his career as a regulatory auditor in the commodities industry and then worked in operations in a large global investment bank and broker / dealer. Since 1990, Rick Morris has been an attorney focusing on tax and corporate and commercial matters, including a broad range of securities and regulatory issues.
Mr. Morris has represented numerous private equity and hedge funds in all aspects of their formation, capital raises, transactions and regulatory compliance. His clients have included start-ups, venture funds, private equity and hedge funds, middle market corporations, multi- nationals, REITs, commercial banks, investment banks, future commission merchants, investment advisers and commodity trading advisers. Mr. Morris has extensive experience across a broad range of industries, including alternative energy, commercial banks, investment banks and other financial services, FinTech, futures commission merchants, food and beverage, health care, hedge funds, manufacturing and distribution, mining, nutraceutical and pharmaceutical, private funds, REITs and other real estate companies, retail, major and minor league sports, and technology. Mr. Morris’ regulatory experience includes Anti-Money Laundering and the Bank Secrecy Act, FDIC, state and federal banking regulatory authorities, the regulations under the Consumer Financial Protection Bureau, insurance, investment management, securities and commodities.
Rick Morris is currently practicing law with the corporate transaction boutique firm Wilson Williams LLC, resident in its New York City office.
Mr. Morris is a frequent presenter on legal and regulatory issues involving the investment fund industry including ESG (Environmental / Social / Good Governance) and was the contributing author for the U.S. section in a leading book on the Investment Management industry, Matthew Hudson, Funds: Private Equity, Hedge and All Core Structures (2014), which provides a practical introductory guide to the legal and commercial context in which funds are raised and invest their money.
Memberships
https://brokercheck.finra.org/
https://sipc.org/
Contact Info
Email: info@hewlettpointsecurities.com
Phone: (561) 802-0784
Office: 3932 Baden Drive
Holiday, Florida, 34691
Privacy Policy
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