Rochelle R. Bertan
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.
Rochelle Robyn Bertan, who also goes by Rochelle Robyn Levine, was a registered financial professional .
Rochelle is a previously registered financial professional and started their career in finance in 1990. Rochelle had worked at 9 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2021 - August 31, 2023
KOTAK MAHINDRA, INC.
April 11, 2018 - June 9, 2025
SQUARE GLOBAL MARKETS
April 7, 2016 - March 6, 2017
AMBIT AMERICA INC.
October 27, 2006 - November 6, 2013
SBERBANK CIB USA, INC.
December 10, 2003 - October 23, 2006
CAPITAL ASSET ADVISORS, INC.
August 15, 2001 - December 31, 2001
PRIME CHARTER LTD.
April 25, 2000 - August 8, 2001
SAFIAN INVESTMENT RESEARCH, INC.
February 28, 1997 - April 7, 1999
TD AMERITRADE, INC.
April 28, 1995 - February 28, 1997
GREEN LINE INVESTOR SERVICES (U.S.A.) INC.
December 10, 1990 - April 21, 1995
PRIME CHARTER LTD.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
KOTAK MAHINDRA, INC.
CRD#: 47251 / SEC#: , 8-51740
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KOTAK MAHINDRA BANK LIMITED | SHAREHOLDER | |
| KOTAK MAHINDRA CAPITAL COMPANY | SHAREHOLDER | |
| DHRUV, PAYAL NIRISH | CHIEF COMPLIANCE OFFICER | 5467742 |
| FULVIO, GENNARO JOHN | PRICIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2435828 |
| FULVIO, GENNARO JOHN | FINOP/CFO | 2435828 |
| JOSEPH, GIJO NMN | PRESIDENT, CEO, DIRECTOR | 5949875 |
| KOTAK MAHINDRA INTERNATIONAL LTD. | SHAREHOLDER | |
| NO LAST NAME, KRISHNAN RAMCHANDRAN | DIRECTOR | 8058651 |
| SYAMASUNDARAN, SHYAM KUMAR | DIRECTOR | 4571814 |
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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