Michael Rotando
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 Rotando, who also goes by Michael James Rotando, Michael Rotando, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2016. Michael had worked at 7 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2024 - May 6, 2026
TP ICAP GLOBAL MARKETS AMERICAS LLC
December 6, 2023 - May 2, 2024
MAREX CAPITAL MARKETS INC.
August 10, 2021 - December 12, 2023
COWEN AND COMPANY
June 12, 2020 - February 10, 2022
COWEN PRIME SERVICES LLC
October 8, 2019 - June 18, 2020
AVATAR CAPITAL GROUP LLC
September 18, 2017 - October 12, 2017
EDWARD JONES
November 15, 2016 - January 3, 2017
EQUITABLE ADVISORS, 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
Current Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
Red Flags
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