Andrew Lawrence Rothstein

Employer firm

Rbc Rochdale, LLC CRD 117198

$73.0B regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• 2019-05-07 → 2022-09-07
  Rice Hall James & Associates Llc
  Mahwah, NJ
  San Diego, CA

Exams

• S63 Uniform Securities Agent State Law Examination
  2023-02-03

Designations

• Chartered Financial Analyst

Other Names

• Andrew Lawrence Rothstein
• Andrew L Rothstein