Dawn M. Bochis
Professional summary
Dawn Marie Bochis, who also goes by Dawn Marie Bochis, Dawn Marie Esposito, is a registered financial professional currently at RABO SECURITIES USA, INC. located in New York, New York.
Dawn is registered as a RR (Registered Representative) and started their career in finance in 2000. Dawn has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24, Series 23, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dawn Marie Bochis's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2024 - Present
RABO SECURITIES USA, INC.
Office #1: 151 West 42nd Street 8th Floor, New York, NY 10036December 7, 2023 - September 6, 2024
UBS SECURITIES LLC
October 27, 2014 - December 7, 2023
CREDIT SUISSE SECURITIES (USA) LLC
March 1, 2010 - August 14, 2014
BROWN BROTHERS HARRIMAN & CO.
November 14, 2006 - February 25, 2010
J.P. MORGAN SECURITIES LLC
September 11, 2000 - February 25, 2010
J.P. MORGAN 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
(9/10/2024)
(9/10/2024)
Exams
Series 99TO
Date: 4/8/2025
Operations Professional ExaminationFINRA
Current Firm
RABO SECURITIES USA, INC.
CRD#: 122657 / SEC#: , 8-65525
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTRECHT-AMERICA HOLDINGS, INC | SOLE SHAREHOLDER | |
| AMIN, SHREYA | SECRETARY | 7368182 |
| BASSETT, DAVID FRANCIS | CHAIRMAN | 2802027 |
| CHESTER, WILLIAM PETER | DIRECTOR | 5868288 |
| DEMAZURE PELLETIER, CHRISTINE MARIE | DIRECTOR | 5481370 |
| KITTEL, CHRISTOPHER FREDERICK | CHIEF COMPLIANCE OFFICER | 2718043 |
| KORMANEK, SHAWN PATRICK | DIRECTOR | 7310810 |
| LAMPER, KATHERINE S | DIRECTOR | 5202959 |
| LAZAROV, DUSAN OBRAD | DIRECTOR | 7904295 |
| MARTENS, ANDREA MARIE | FINANCIAL AND OPERATIONS PRINCIPAL | 1187593 |
| PASDAR, NADER | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4702711 |
Red Flags
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