Richard A. Rolnick
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 Adam Rolnick was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2019 - February 16, 2023
BTIG, LLC
January 25, 2018 - November 30, 2018
HUNT FINANCIAL SECURITIES
March 7, 2002 - July 25, 2008
NATWEST MARKETS SECURITIES INC.
June 27, 2000 - March 4, 2002
BNP PARIBAS SECURITIES CORP.
March 16, 1999 - July 20, 2000
BNP PARIBAS INVESTMENT SERVICES, LLC
July 30, 1997 - December 9, 1998
UBS FINANCIAL SERVICES INC.
April 1, 1996 - February 3, 1997
SBC WARBURG DILLON READ INC.
November 23, 1993 - February 9, 1996
CHASE SECURITIES, INC.
December 15, 1992 - October 29, 1993
PRINTON, KANE GROUP, 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
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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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