Andrew D. Rochat
Professional summary
Andrew D Rochat, who also goes by Andrew Doyle Rochat, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1990. Andrew has worked at 12 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew D Rochat's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 4, 2016 - Present
SEAPORT GLOBAL SECURITIES LLC
Office #1: 360 Madison Ave 22nd Floor, New York, NY 10017Office #2: 2 Greenwich Office Park Suite 150, Greenwich, CT 06831June 5, 2015 - September 8, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 3, 2011 - June 5, 2015
STERNE, AGEE & LEACH, INC.
February 16, 2011 - September 15, 2011
CITADEL SECURITIES LLC
April 13, 2009 - February 15, 2011
CHAPDELAINE TULLETT PREBON, LLC
September 22, 2008 - February 6, 2009
BARCLAYS CAPITAL INC.
October 5, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
April 19, 2002 - February 22, 2006
UBS SECURITIES LLC
July 10, 2000 - April 8, 2002
ABN AMRO INCORPORATED
November 22, 1995 - June 6, 1997
BNP PARIBAS SECURITIES CORP.
December 7, 1991 - February 14, 1995
CITIGROUP GLOBAL MARKETS INC.
May 22, 1990 - June 21, 1991
PERSHING 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
(10/26/2016)
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(11/28/2016)
(8/15/2022)
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Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Nasdaq ISE, LLC
Nasdaq Stock Market
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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