Breege Rohan
Professional summary
Breege Rohan, who also goes by Breege Christina Rohan, Breege Cristina Rohan, is a registered financial professional currently at NYLIFE SECURITIES LLC located in New York, New York.
Breege is registered as a RR (Registered Representative) and started their career in finance in 1999. Breege has worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Breege Rohan's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2021 - Present
NYLIFE SECURITIES LLC
June 28, 2019 - March 17, 2020
COMPASS POINT RESEARCH & TRADING, LLC
June 23, 2016 - June 27, 2019
BOENNING & SCATTERGOOD, INC.
March 17, 2008 - February 23, 2016
MERRIMAN CAPITAL, INC.
October 13, 2004 - January 31, 2008
FTN EQUITY CAPITAL MARKETS CORP.
August 27, 1999 - October 20, 2004
ADVEST, INC.
June 29, 1999 - October 18, 1999
GOLDMAN SACHS & CO. LLC
March 15, 1999 - June 17, 1999
HSBC SECURITIES (USA) 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
(8/30/2022)
(4/7/2021)
(8/11/2021)
(1/13/2021)
(3/12/2021)
Exams
Series 55
Date: 6/11/2001
Limited Representative-Equity Trader ExamFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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