Andrew Rosivach

WOLFE RESEARCH SECURITIES

New York, NY 10017

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CRD#: 4253441

Professional summary

Andrew Rosivach, who also goes by Andrew Leonard Rosivach, is a registered financial professional currently at WOLFE RESEARCH SECURITIES located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2000. Andrew has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.

Question & Answer

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Aliases

Andrew Leonard Rosivach

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

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

None

Experience

Current

March 16, 2021 - Present

WOLFE RESEARCH SECURITIES

Office #1: 757 Third Avenue Sixth Floor, New York, NY 10017

CRD#: 151850

New York, NY

Past

June 14, 2012 - July 31, 2019

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

March 9, 2004 - July 3, 2012

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

SAN FRANCISCO, CA

Past

April 18, 2002 - March 11, 2004

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

November 3, 2000 - March 25, 2002

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

October 30, 2000 - November 3, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(3/16/2021)

Exams

State Security Law Exam

Series 63

Date: 9/29/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 10/15/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 10/28/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/20/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WOLFE RESEARCH SECURITIES

WOLFE CAPITAL MARKETS AND ADVISORY | WR SECURITIES, LLC | WOLFE TRAHAN SECURITIES | WOLFE RESEARCH SECURITIES

CRD#: 151850 / SEC#: , 8-68406

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

757 Third Avenue Sixth Floor, New York, NY 10017-2013

Mailing Address

757 Third Avenue Sixth Floor, New York, NY 10017-2013

Phone number

(646) 845-0700

Established

New York since 08/03/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (48 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
WOLFE HOLDCO, LLC	SOLE OWNER
JORDAN, FRANCIS	CFO/FINOP	5634167
PALLANTE, SANDRA MARIE	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	2018926
RYAN, PETER WILLIAM	VICE CHAIRMAN	2009055
WOLFE, EDWARD MARK	CEO	2804319

Disclosures

Regulatory Event

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.

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Andrew Rosivach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Rosivach's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

CREDIT SUISSE SECURITIES (USA) LLC

PIPER SANDLER & CO.

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/29/2000

SIE

Date: 10/1/2018

Series 87

Date: 10/15/2004

Series 7

Date: 10/28/2000

Series 24

Date: 8/20/2010

FINRA

Current Firm

WOLFE RESEARCH SECURITIES

Contact information

FINRA licenses (48 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WOLFE RESEARCH SECURITIES

TRUST BUT VERIFY

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