Anthony N. Rokovich
Professional summary
Anthony Nicholas Rokovich JR, who also goes by Anthony Rokovich, is a registered financial professional currently at MOELIS & COMPANY LLC located in New York, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 1996. Anthony has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anthony Nicholas Rokovich JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 2011 - Present
MOELIS & COMPANY LLC
Office #1: 399 Park Avenue 4th Floor, New York, NY 10022April 16, 2003 - May 18, 2011
UBS SECURITIES LLC
May 9, 2002 - December 19, 2002
LEHMAN BROTHERS INC.
October 11, 1996 - February 26, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/3/2011)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
MOELIS & COMPANY LLC
CRD#: 145115 / SEC#: , 8-67705
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY | |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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