Jacob Rothenberg
Professional summary
Jacob Rothenberg, who also goes by Jake Rothenberg, is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in New York, New York.
Jacob is registered as a RR (Registered Representative) and started their career in finance in 1996. Jacob has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jacob Rothenberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2005 - Present
CITIZENS JMP SECURITIES, LLC
Office #1: 1301 Avenue Of The Americas 2nd Floor, New York, NY 10019March 4, 2004 - November 11, 2004
UBS CAPITAL MARKETS L.P.
January 22, 1998 - June 2, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
September 16, 1996 - January 16, 1998
HAMBRECHT & QUIST 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
(1/6/2005)
(6/15/2010)
(4/29/2011)
(4/29/2011)
(4/29/2011)
(4/29/2011)
(6/15/2010)
(1/6/2005)
(4/29/2011)
(4/29/2011)
Exams
FINRA
Nasdaq Stock Market
Current Firm
CITIZENS JMP SECURITIES, LLC
CRD#: 22208 / SEC#: , 8-39613
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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