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RF

Roberto Fernandes Maccagnan

ROTHSCHILD & CO US
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 7298319
RF

Professional summary

Roberto Fernandes Maccagnan, who also goes by Roberto Fernandes-maccagnan, is a registered financial professional currently at ROTHSCHILD & CO US INC. located in New York, New York.

Roberto is registered as a RR (Registered Representative) and started their career in finance in 2020. Roberto has worked at 3 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roberto Fernandes-Maccagnan

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

Click below to view Roberto Fernandes Maccagnan's CRS (Customer Relationship Summary).

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

June 18, 2024 - Present

ROTHSCHILD & CO US INC.

Office #1: 1251 Avenue Of The Americas, New York, NY 10020
BD
CRD#: 2910
NEW YORK, NY
Past

September 1, 2021 - April 19, 2024

LIONTREE ADVISORS LLC

BD
CRD#: 164399
San Francisco, CA
Past

October 30, 2020 - August 12, 2021

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(6/18/2024)
RR
New York
(6/18/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/5/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/30/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/30/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

R&
ROTHSCHILD & CO US INC.
NEW COURT SECURITIES CORPORATION | ROTHSCHILD INC. | ROTHSCHILD & CO US INC.

CRD#: 2910 / SEC#: , 8-13852

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

Main Address
1251 Avenue Of The Americas, New York, NY 10020
Mailing Address
1251 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 403-3500
Established
Delaware since 07/20/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ROTHSCHILD & CO NORTH AMERICA INC.DIRECT SHAREHOLDER
CARROLL, JOHN MURRAYDIRECTOR2605675
FELDMAN, TRACY JDIRECTOR2575503
LONDON, FRANK STEVENCHIEF COMPLIANCE OFFICER5861920
NEISSA, JAMES MANUELDIRECTOR2142240
SCHACKERT, CHRISTA MARYPRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER4219093
SPELLER, MICHAEL CHARLESCHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR3105214

Disclosures

Regulatory Event1

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

ROTHSCHILD & CO US INC.

CRD#: 2910New York, NY 10020

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