Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Rothstein is an investment advisor representative with RBC Capital Markets, LLC, a firm that has been in business since 1997. Adam Rothstein has been in the industry since 2010. Adam Rothstein works out of the Boca Raton office of RBC Capital Markets, LLC. Prior to working at RBC Capital Markets, LLC, Adam Rothstein worked at Truist Investment Services, Inc. Adam Rothstein is registered with FINRA and the state of Texas. The firm has more than $50 billion in assets under management. Adam Rothstein has specializations in investments such as stocks, bonds, mutual funds, exchange-traded funds, and options. Adam Rothstein also provides financial planning and portfolio management services to a wide range of clients, including individuals, families, businesses, and institutions.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
FL
01/14/2022 - Present
RBC Capital Markets, LLC (BOCA RATON FL)
FL
02/17/2021 - 01/25/2022
TRUIST INVESTMENT SERVICES, INC. (AVENTURA FL)
VA
03/24/2016 - 02/17/2021
BB&T SECURITIES, LLC (RICHMOND VA)
FL
05/19/2014 - 04/11/2016
MORGAN STANLEY (AVENTURA FL)
NY
06/29/2010 - 05/06/2014
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
IA
Issued 06/27/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/12/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2010
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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