KR
Kate A. Rochat
SEAPORT GLOBAL SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 7986066
KR
Professional summary
Kate A Rochat, who also goes by Katie A Rochat, Katie Rochat, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in New York, New York.
Kate is registered as a RR (Registered Representative) and started their career in finance in 2024. Kate has worked at 1 firm and has passed the Series 63, Series 57TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katie A Rochat | Katie Rochat
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.
CRS (Client Relationship Summary) - BD
Click below to view Kate A Rochat'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®
NoneExperience
Current
November 20, 2024 - Present
SEAPORT GLOBAL SECURITIES LLC
Office #1: 360 Madison Ave 22nd Floor, New York, NY 10017BD
CRD#: 116270
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
Alabama(11/20/2024)
RR
Alaska(11/20/2024)
RR
Arizona(11/20/2024)
RR
Arkansas(11/20/2024)
RR
California(11/20/2024)
RR
Colorado(11/20/2024)
RR
Connecticut(11/20/2024)
RR
Delaware(11/20/2024)
RR
District of Columbia(11/20/2024)
RR
Florida(11/20/2024)
RR
Georgia(11/20/2024)
RR
Hawaii(11/20/2024)
RR
Idaho(11/20/2024)
RR
Illinois(11/20/2024)
RR
Indiana(11/20/2024)
RR
Iowa(11/20/2024)
RR
Kansas(11/20/2024)
RR
Kentucky(11/20/2024)
RR
Louisiana(11/20/2024)
RR
Maine(11/20/2024)
RR
Maryland(11/20/2024)
RR
Massachusetts(11/20/2024)
RR
Michigan(11/20/2024)
RR
Minnesota(11/20/2024)
RR
Mississippi(11/20/2024)
RR
Missouri(11/20/2024)
RR
Montana(11/20/2024)
RR
Nebraska(11/20/2024)
RR
Nevada(11/20/2024)
RR
New Hampshire(11/20/2024)
RR
New Jersey(11/20/2024)
RR
New Mexico(11/20/2024)
RR
New York(11/20/2024)
RR
North Carolina(11/20/2024)
RR
North Dakota(11/20/2024)
RR
Ohio(11/20/2024)
RR
Oklahoma(11/20/2024)
RR
Oregon(11/20/2024)
RR
Pennsylvania(11/20/2024)
RR
Rhode Island(11/20/2024)
RR
South Carolina(11/20/2024)
RR
South Dakota(11/20/2024)
RR
Tennessee(11/20/2024)
RR
Texas(11/20/2024)
RR
Utah(11/20/2024)
RR
Vermont(11/20/2024)
RR
Virginia(11/20/2024)
RR
Washington(11/20/2024)
RR
West Virginia(11/20/2024)
RR
Wisconsin(11/20/2024)
RR
Wyoming(11/20/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 5/23/2025
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 7TO
Date: 11/1/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SG
SEAPORT GLOBAL SECURITIES LLC
GLOBAL HUNTER SECURITIES | THE SEAPORT GROUP | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC | SEA PORT GROUP SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
