Anthony R. Rochte
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.
Anthony Ray Rochte, who also goes by Anthony R Rochte, Anthony Rochte, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1992. Anthony had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2022 - December 17, 2024
MORGAN STANLEY DISTRIBUTION, INC.
February 5, 2020 - April 8, 2022
GOLDMAN SACHS & CO. LLC
December 6, 2017 - January 7, 2020
NATIONAL FINANCIAL SERVICES LLC
September 5, 2017 - January 7, 2020
FIDELITY BROKERAGE SERVICES LLC
May 12, 2016 - August 28, 2017
FIDELITY DISTRIBUTORS COMPANY LLC
August 19, 2014 - May 12, 2016
PYRAMIS DISTRIBUTORS CORPORATION LLC
July 12, 2013 - September 4, 2014
FIDELITY DISTRIBUTORS COMPANY LLC
October 25, 2006 - March 9, 2012
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
May 15, 2000 - October 16, 2006
BLACKROCK FUND ADVISORS
April 4, 2000 - October 13, 2006
BLACKROCK EXECUTION SERVICES
June 14, 1996 - March 29, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
August 25, 1992 - June 8, 1996
NUVEEN SECURITIES, 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
Current Firm
MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER AND FINOP | 7463692 |
| MCMULLEN, FREDERICK ALLEN | DIRECTOR AND TEXAS DESIGNATED PRINCIPAL | 2537409 |
| SCHOEN, SAMANTHA JANE | DIRECTOR | 7006907 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT AND DIRECTOR | 2034689 |
Red Flags
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