Livingston Securities
Ms. Rockman serves as the Chief Compliance Officer of Livingston Securities. Prior to joining Livingston Securities, she served as the Chief Compliance Officer of Schottenfeld Group, a proprietary trading and institutional sales broker-dealer in New York City. From 2002 to 2005 Ms. Rockman served as the Chief Compliance Officer for Puglisi & Co. Ms. Rockman has been engaged in the securities industry for over twenty years and has primarily been affiliated with small and mid-size firms with wide ranging business lines in the compliance and operations specialties. Ms. Rockman is the managing partner of Regulatory Consulting Services, LLC. a firm specializing in business management and compliance related consulting services to the financial industry.
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Livingston Securities
Livingston Securities is dedicated to providing corporate finance and strategic advisory services to corporate clients and sales, trading, and related services to institutional investors and high net worth individuals who focus on disruptive technologies and their impact on healthcare, energy, infrastructure, and other leading sectors of the American and global economy.