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Andrew B. Rosenberg

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CRD#: 4369610
AR

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.

Andrew Benjamin Rosenberg was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 2001. Andrew had worked at 3 firms and has passed the Series 63, SIE and Series 7 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.
The advisor shows no other business activity.

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®
None

Experience

Past

November 1, 2012 - March 18, 2019

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW ORLEANS, LA
Past

October 31, 2003 - November 1, 2012

HOWARD WEIL INCORPORATED

BD
CRD#: 30958
NEW ORLEANS, LA
Past

June 12, 2001 - October 31, 2003

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

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: 6/27/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/11/2001
General Securities Representative Examination

Current Firm

SCOTIA CAPITAL (USA) INC.
SCOTIA CAPITAL (USA) INC.
HOWARD WEIL (A DIVISION OF SCOTIABANK) | SCOTIAMCLEOD (USA) INC. | SCOTIA HOWARD WEIL | SCOTIA CAPITAL MARKETS (USA) INC. | SCOTIA CAPITAL (USA) INC. | MCLEOD YOUNG WEIR INCORPORATED

CRD#: 2739 / SEC#: , 8-3716

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

Main Address
250 Vesey Street, New York, NY 10281
Mailing Address
250 Vesey Street, New York, NY 10281
Phone number
(212) 225-6500
Established
New York since 11/25/1939
Firm type
Corporation
Fiscal year end
October
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SCOTIA HOLDINGS (USA) LLCSOLE SHAREHOLDER
ATTIA, MONCEFBOARD MEMBER4852031
DUSSEAU, SEAN MICHAELCHIEF OPERATING OFFICER & BOARD MEMBER6628832
GALANTE, ANTHONY JAMESCHIEF FINANCIAL OFFICER2168905
GEORGALAS, ANDREAS ZANISCHIEF LEGAL OFFICER4769326
GOHMAN, BENJAMIN EBOARD MEMBER4835406
KAUSHIK, KSHAMTACHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER7523252
KHAN, ARIF KAMALCHIEF COMPLIANCE OFFICER5011278
NATHANSON, GARYBOARD MEMBER4825746
PATEL, HEMANGCHIEF OPERATIONS OFFICER8032984
WANG, ELSA YI-HUIBOARD MEMBER5984605
WILSON, MARC-ANDREBOARD MEMBER6455732

Disclosures

Regulatory Event9

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

SCOTIA CAPITAL (USA) INC.

SCOTIA CAPITAL (USA) INC.

CRD#: 2739

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