Roger C. Cotta
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.
Roger Charles Cotta, who also goes by Roger C Cotta, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1986. Roger had worked at 6 firms and has passed the Series 63, Series 7, Series 27, Series 14, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2001 - July 30, 2012
TOCQUEVILLE SECURITIES L.P.
August 8, 2000 - February 8, 2001
VIPO SECURITIES
April 10, 2000 - July 31, 2000
AUERBACH, POLLAK & RICHARDSON INC.
January 27, 1992 - February 1, 2000
NEEDHAM & COMPANY, LLC
August 13, 1991 - December 21, 1991
REICH & CO., INC.
February 6, 1986 - July 5, 1990
DAVID J. GREENE AND COMPANY, 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
Series 8
Date: 8/1/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TOCQUEVILLE SECURITIES L.P.
CRD#: 26001 / SEC#: , 8-42223
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOCQUEVILLE ASSET MANAGEMENT L.P. | LIMITED PARTNER | |
| CHUN, YUEN NA | FINOP | 2219603 |
| GRAHAM, KELSEY DUBOIS III | CHIEF COMPLIANCE OFFICER | 5976494 |
| KLEINSCHMIDT, ROBERT WILLIAM | CEO & GSP | 855215 |
| SCHLESINGER, SCOTT IRA | PRESIDENT, CHIEF OPERATING OFFICER & GSP | 1252675 |
| TOCQUEVILLE MANAGEMENT CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
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.
