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Andrew Lawrence Rothstein

Rbc Rochdale, LLC

New York, NY

Larchmont, NY

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Current Employers
Rbc Rochdale, Llc

400 Park Avenue 10Th Floor, New York, NY 10022 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-02-07
NY RA APPROVED 2022-11-30
  • TX RA
    APPROVED
    Since 2025-02-07
  • NY RA
    APPROVED
    Since 2022-11-30

Branch Locations

400 Park Avenue 10Th Floor, New York, NY 10022 • United States

Larchmont, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rice Hall James & Associates, Llc San Diego CA 03/2019 08/2022
Hgk Asset Management Jersey City NJ 03/2006 03/2019
Cnr Securities, Llc New York NY 11/2022 Present
Hgk Asset Management Jersey City NJ 08/2022 10/2022
  • 03/2019 → 08/2022
    Rice Hall James & Associates, Llc
    San Diego, CA
  • 03/2006 → 03/2019
    Hgk Asset Management
    Jersey City, NJ
  • 11/2022 → Present
    Cnr Securities, Llc
    New York, NY
  • 08/2022 → 10/2022
    Hgk Asset Management
    Jersey City, NJ
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-02-03
  • S63 Uniform Securities Agent State Law Examination
    2023-02-03
Designations
Other Names
  • Andrew Lawrence Rothstein
  • Andrew L Rothstein

View on SEC IAPD

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