David Rochman
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.
David Rochman, who also goes by David None Rochman, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2002. David had worked at 4 firms and has passed the Series 66, 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
August 30, 2014 - February 20, 2020
CALAMOS ADVISORS LLC
May 23, 2014 - February 20, 2020
CALAMOS FINANCIAL SERVICES LLC
April 7, 2003 - October 24, 2013
MARTIN CURRIE INVESTOR SERVICES, INC.
June 3, 2002 - November 13, 2002
LOMBARD ODIER DARIER HENTSCH SECURITIES, INC.
Primary Firm SEC Registration
CALAMOS ADVISORS LLC
CRD#: 105758 / SEC#: 801-29688
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
CALAMOS ADVISORS LLC
CRD#: 105758 / SEC#: 801-29688
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,662 |
| AUM (Assets Under Management) | $ 38,184,222,669 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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