Juanito A. Rohan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Juanito Alberto Rohan, who also goes by Juan Rohan, Juanito Alberto Rohan Jr, Juanito Alberto Jr Rohan, was a registered financial professional .
Juanito is a previously registered financial professional and started their career in finance in 1982. Juanito had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2016 - February 26, 2019
HARTFIELD, TITUS & DONNELLY, LLC
November 15, 2010 - July 21, 2015
B. RILEY WEALTH MANAGEMENT
November 26, 2001 - November 16, 2010
NEWEDGE USA, LLC
February 7, 2001 - October 31, 2001
BGC FINANCIAL, L.P.
October 1, 1999 - January 29, 2001
CHAPDELAINE CORPORATE SECURITIES & CO
March 12, 1997 - October 5, 1999
W.A. CAPITAL MARKETS
April 19, 1995 - February 1, 1997
MINT BROKERS
April 19, 1995 - March 12, 1997
CANTOR FITZGERALD SECURITIES
September 15, 1989 - January 24, 1995
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 22, 1982 - August 28, 1989
ASIEL & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HARTFIELD, TITUS & DONNELLY, LLC
CRD#: 7117 / SEC#: , 8-18974
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PURPORA CONSULTING,INC. | DIRECT OWNER | |
| CALDAS, JOSEPH JAMES | DIRECT OWNER | 501739 |
| CARRINGTON, MICHAEL SUGHRUE | DIRECT OWNER | 2716358 |
| EMANUEL, PAUL JOSEPH | DIRECT OWNER | 2330590 |
| INFUSINO, RICHARD ANGELO JR | DIRECT OWNER | 5668679 |
| MUSTACCHIO, LOUIS JOSEPH JR | DIRECT OWNER | 1656435 |
| O'MALLEY, DEREK JOHN | DIRECT OWNER | 4369620 |
| PAULEY, MATTHEW CHRISTOPHER | DIRECT OWNER | 2280671 |
| FERRERI, CHRISTOPHER CHARLES | DIRECT OWNER | 1677406 |
| GEORGE, MICHAEL THEODORE | FINOP & TREASURER | |
| HOFFMAN, EDWARD KELLY | DIRECT OWNER | 2295024 |
| JOHNSON, MARYBETH | DIRECT OWNER | 2123615 |
| MCCUE, JAMES GERARD | DIRECT OWNER | 2037468 |
| MULVIHILL, CAROLYN CROWE | DIRECT OWNER | 1968504 |
| NOTINE, TODD ROBERT | DIRECT OWNER | 1595766 |
| PALLARINO, JOHN GUY | DIRECT OWNER | 2282884 |
| SMITH, EDWARD JOHN | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY AND DIRECT OWNER | 4161601 |
| VANDERBEEK, TAYLOR JAMES | DIRECT OWNER | 6339397 |
| VINJE, NATALIE GRIFFIN | DIRECT OWNER | 3135251 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
