Richard D. Rothenberg
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.
Richard David Rothenberg, who also goes by Rich Rothenberg, Richard D Rothenberg, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 10 firms and has passed the Series 63, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2009 - January 31, 2014
SEAPORT GLOBAL SECURITIES LLC
April 26, 2006 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
July 25, 2005 - June 11, 2009
RBC CAPITAL MARKETS, LLC
November 1, 2004 - July 28, 2005
JEFFERIES LLC
August 9, 2004 - November 1, 2004
BONDS DIRECT SECURITIES LLC
January 9, 2004 - August 4, 2004
BNY CAPITAL MARKETS INC.
March 12, 2002 - December 4, 2003
FHN FINANCIAL SECURITIES CORP.
July 14, 1993 - March 6, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 1992 - June 11, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION
January 25, 1988 - November 25, 1991
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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