Beth K. Rothschild
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.
Beth Krieger Rothschild, who also goes by Beth Roberta Krieger, Beth Krieger Meer, Beth Meer, was a registered financial professional .
Beth is a previously registered financial professional and started their career in finance in 1994. Beth had worked at 14 firms and has passed the Series 63, SIE, Series 6, Series 3, Series 16, Series 7, Series 12, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2016 - September 30, 2016
BGC FINANCIAL, L.P.
March 29, 2016 - September 30, 2016
CANTOR FITZGERALD & CO.
July 21, 2015 - May 18, 2016
HSBC SECURITIES (USA) INC.
June 3, 2011 - August 12, 2013
BNP PARIBAS PRIME BROKERAGE, INC.
May 27, 2010 - August 12, 2013
BNP PARIBAS SECURITIES CORP.
October 1, 2007 - May 13, 2009
UBS FINANCIAL SERVICES INC.
December 8, 2006 - October 4, 2007
PERSHING LLC
January 4, 2001 - January 3, 2007
DEUTSCHE BANK SECURITIES INC.
October 1, 2000 - November 29, 2000
BROWN BROTHERS HARRIMAN & CO.
December 23, 1999 - April 20, 2000
THE ROBINSON-HUMPHREY COMPANY, LLC
September 20, 1999 - April 20, 2000
CITIGROUP GLOBAL MARKETS INC.
February 18, 1997 - August 28, 1999
PRUDENTIAL EQUITY GROUP, LLC
March 26, 1996 - February 12, 1997
ING BARING (U.S.) SECURITIES, INC.
January 21, 1994 - March 26, 1996
SALOMON BROTHERS 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
Series 12
Date: 5/22/1997
NYSE Branch Manager ExaminationCurrent Firm
BGC FINANCIAL, L.P.
CRD#: 19801 / SEC#: , 8-39012
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BGC BROKERS US L.P. | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| AUBIN, JEAN PIERRE | EXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES | 5596046 |
| BGCF HOLDINGS LLC | GENERAL PARTNER | |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 36 |
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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