Michael J. Rotch
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.
Michael John Rotch, who also goes by Michael Rotch, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2012. Michael had worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2015 - February 24, 2017
CALIBRE GROUP SECURITIES, LLC
March 12, 2015 - December 31, 2015
EIGHT PINES SECURITIES LLC
May 15, 2012 - March 13, 2015
SEAPORT GLOBAL SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 7/26/2016
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CALIBRE GROUP SECURITIES, LLC
CRD#: 175370 / SEC#: , 8-69592
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALIBRE GROUP LLC | MEMBER | |
| COSTENBADER, WALTER RUSSELL | FINOP | 1828345 |
| SIEGEL, EDWARD ALLEN | EXECUTIVE REPRESENTATIVE, CCO, AML | |
| TUMULTY, JAMES SHANNON | PRESIDENT, CEO |
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.
