David P. Rochester
Professional summary
David Patrick Rochester II, who also goes by Dave Rochester, David Patrick Rochester II, David Patrick Rochester, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1997. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Patrick Rochester II's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 27, 2025 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 4 Floor Itd, New York, NY 10022August 29, 2019 - January 14, 2025
COMPASS POINT RESEARCH & TRADING, LLC
June 8, 2011 - September 5, 2019
DEUTSCHE BANK SECURITIES INC.
September 13, 2010 - June 10, 2011
CREDIT SUISSE SECURITIES (USA) LLC
November 2, 2004 - August 31, 2010
B. RILEY SECURITIES, INC.
June 16, 2004 - October 27, 2004
PIPER SANDLER & CO.
January 5, 2004 - June 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 2003 - June 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2002 - July 16, 2003
COHEN & STEERS SECURITIES, LLC
August 8, 1997 - June 12, 2002
CAPITAL RESOURCES, 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
(1/27/2025)
(1/27/2025)
Exams
Cboe BYX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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