ABOUT LIVINGSTON SECURITIES LLC
Livingston Securities LLC is a FINRA member investment bank/advisory and broker/dealer 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 nanotechnology and other emerging technologies and their impact on healthcare, energy, infrastructure and other leading sectors of the American and global economy.
Livingston Securities focuses on providing investment banking, advisory and brokerage services to a wide variety of clients, including public and private corporations, institutional and high net worth investors, governments and universities.
ABOUT OUR EXECUTIVES
Scott Livingston, Chairman and Chief Executive Officer of Livingston Securities LLC.
Mr. Livingston has been working on emerging technologies at Wall Street firms for 25 years and has specialized in nanotechnologies since 2002. Mr. Livingston has been called "sharp and highly connected" by the Forbes Wolfe Nanotechnology Report (July 1, 2005) and has been a keynote speaker on advanced technology investment trends in more than 30 states across America, including at MIT, the National Renewable Energy Lab (NREL), Brookhaven National Labs, Rice University Center for Nanotechnology, the Lawrence Berkeley Labs, Albany Nanotech, the President's National Economic Council, numerous US congressional committees. In addition, the "Livingston Nanotechnology Conference," is Wall Street's largest and longest running annual nanotechnology investor conference, now in its 10th year.
Mr. Livingston has often been called "the King of Nanotechnology on Wall Street" and Livingston Securities was founded to change the way that innovation is financed on Wall Street and to connect people with their local innovation economy.
From 2005 to 2009 Mr. Livingston was a Managing Director at Axiom Capital Management, Inc, and head of the Livingston Group, a division within Axiom focused on nanotechnology. From 2000 to 2005 Mr. Livingston was a Director in the Private Investment Management Division at Lehman Brothers. While at Lehman in 2002, Mr. Livingston began his focus on nanotechnology and started to cover the field for institutional and individual investors. From 1996 to 2000, Mr. Livingston served as a Director in the Private Client Group at Cowen & Co (later renamed SG Cowen Securities), where he was a member of the Chairman's Club from 1998 to 2000 the firm's highest honor for private client management. While at Cowen, Mr. Livingston focused on emerging technology trends, including genomics, Y2K preparedness and defense technologies. From 1993 to 1996 Mr. Livingston was a Senior Vice President in the Private Client Group at Smith Barney Inc. Mr. Livingston was named a Senior Vice President in 1993, at the age of 24, one of the youngest appointees for the firm at that time. While at Smith Barney Mr. Livingston focused on emerging technology trends, including biotechnology, data networking and telecommunications services. From 1992 to 1993 Mr. Livingston was a Vice President at Shearson Lehman Hutton, Inc. Smith Barney Inc. acquired Shearson Lehman Hutton in March of 1993. From 1989 to 1992 Mr. Livingston was an investment representative with Citigroup Global Markets.
Mr. Livingston graduated from the State University of New York at Albany with a B.A. in Political Science with a concentration in International Economic Relations. Mr. Livingston is a Board Member of the Nanobusiness Alliance and a founding Board Member of the New York Nanobusiness Alliance. Mr. Livingston is also a founding member of the Water Innovations Alliance. Mr. Livingston's registrations include Series 4, 7, 24, 27, 53, 55, 63, 65, 79 and 87.
Jeanne Rockman, Chief Compliance Officer, General Securities Principal
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. Ms. Rockman's registrations include Series 7, 24 and 63.
Enrico Albano, Senior Vice President, Sales and Trading
Mr. Albano serves as a Senior Vice President, handling equity and options trading, as well as execution of employee stock options and Rule 144 stock transactions. Prior to joining Livingston Securities, Mr. Albano served as Vice President and Senior Equity Trader for the Livingston Group, a division of Axiom Capital Management Inc. Mr. Albano helped establish the Livingston Group when Lehman Brothers acquired the Private Client Group of Cowen & Co. in 2000. In 1993, he joined Cowen & Company where he became the Order Room Supervisor of one of their largest branch offices. Mr. Albano began his career in trading in 1984 working in the Bear Stearns order room. Mr. Albano's registrations include Series 7, 55 and 63.