Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rhett? Claim Your ProfileRhett James Hancock is a licensed securities professional with over 27 years of experience in the financial services industry. Rhett is currently registered with Roth Capital Partners, LLC and has been with the firm since April 2023. Prior to joining Roth Capital Partners, LLC, Rhett worked at a variety of other firms including Canaccord Genuity LLC, BNP Paribas Securities Corp., CF Global Trading, LLC, Auerbach Grayson & Company Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Donaldson, Lufkin & Jenrette Securities Corporation. Rhett has a broad range of experience in the financial services industry, including equity trading, investment banking, and wealth management. Rhett is a Series 7, Series 24, Series 55, and Series 57TO licensed professional.
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.
(1) distribution of sell-side research reports/corporate access (2) solicitor
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.
Set rates for specific services, regardless of time or assets managed.
1
2
CT
04/17/2023 - Present
Roth Capital Partners, LLC (STAMFORD CT)
NY
02/24/2016 - 04/12/2023
CANACCORD GENUITY LLC (NEW YORK NY)
NY
07/19/2011 - 02/09/2016
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
CT
01/12/2005 - 07/20/2011
CF GLOBAL TRADING, LLC (NORWALK CT)
NY
01/07/2004 - 01/05/2005
AUERBACH GRAYSON & COMPANY INCORPORATED (NEW YORK NY)
NY
05/04/2001 - 11/25/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/10/2000 - 05/04/2001
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
NJ
10/17/1994 - 10/10/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 03/14/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/05/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/14/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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