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KR

Keith E. Rochelli

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CRD#: 3085269
KR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Keith Evan Rochelli, CFA was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 2000. Keith had worked at 3 firms and has passed the Series 63, Series 7 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
KAYNE ANDERSON CAPITAL ADVISORS, LP - EMPLOYEE

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFA

Chartered Financial Analyst

Experience

Past

October 1, 2009 - December 31, 2022

SAYBROOK ADVISORS, LLC

RIA
CRD#: 139018
LOS ANGELES, CA
Past

October 12, 2005 - August 8, 2013

SAYBROOK CAPITAL CORPORATION

BD
CRD#: 26398
SANTA MONICA, CA
Past

November 7, 2000 - July 28, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/22/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 11/6/2000
Municipal Securities Representative Examination

Current Firm

SA
SAYBROOK ADVISORS, LLC
SAYBROOK ADVISORS, LLC | SAYBROOK TAX-EXEMPT ADVISORS, LLC | SAYBROOK COF, LP (RELYING ADVISER) | SAYBROOK COF, LP | SAYBROOK COF OFFSHORE, LLC (RELYING ADVISER) | SAYBROOK COF OFFSHORE, LLC | SAYBROOK COF II GP, LP (RELYING ADVISER) | SAYBROOK COF II GP, LP | SAYBROOK CAPITAL II, LLC (RELYING ADVISER) | SAYBROOK CAPITAL II, LLC

CRD#: 139018 / SEC#: 801-65848

RIA
Registered Investment Advisory firm - (9/8/2023 Terminated)
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Contact information

Main Address
5161 Lankershim Blvd Ste 250, Los Angeles, CA 91601
Mailing Address
Phone number
(917) 833-4780
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

SAYBROOK ADVISORS 2021 UPDATE (3/31/2023)

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
CaliforniaERA - Active6/13/2025

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SAYBROOK ADVISORS, LLC

CRD#: 139018

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