Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Rochat is a financial professional with over 27 years of experience in the industry. Andrew currently works at Seaport Global Securities LLC in Greenwich, Connecticut. Andrew has previously held roles at Stifel, Nicolaus & Company, Incorporated, Sterne, Agee & Leach, Inc., Citadel Securities LLC, Chapdelaine & Co., Barclays Capital Inc., Lehman Brothers Inc., UBS Securities LLC, ABN AMRO Incorporated, Paribas Corporation, and Smith Barney Inc. Andrew has a Series 7, Series 24, Series 3, Series 52, and Series 63 license. Andrew is registered in 51 states, the District of Columbia, and is a member of FINRA.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
CT
10/04/2016 - Present
Seaport Global Securities LLC (GREENWICH CT)
NY
06/05/2015 - 09/08/2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)
NY
10/03/2011 - 06/05/2015
STERNE, AGEE & LEACH, INC. (NEW YORK NY)
NY
02/16/2011 - 09/15/2011
CITADEL SECURITIES LLC (NEW YORK NY)
NY
04/13/2009 - 02/15/2011
CHAPDELAINE & CO. (NEW YORK NY)
NY
09/22/2008 - 02/06/2009
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
10/05/2006 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
04/19/2002 - 02/22/2006
UBS SECURITIES LLC (NEW YORK NY)
CT
07/10/2000 - 04/08/2002
ABN AMRO INCORPORATED (STAMFORD CT)
NY
11/22/1995 - 06/06/1997
PARIBAS CORPORATION (NEW YORK NY)
NY
12/07/1991 - 02/14/1995
SMITH BARNEY INC. (NEW YORK NY)
NJ
05/22/1990 - 06/21/1991
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 01/29/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/12/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/1991
Series 3 - National Commodity Futures Examination
BC
Issued 05/19/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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