Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Rothman is an investment advisor representative with Morgan Stanley. Brian has been working in the financial services industry since 1985 and has a wide range of experience. Brian is registered with the Financial Industry Regulatory Authority (FINRA) and is a member of the Securities Investor Protection Corporation (SIPC). Brian's specializations include asset allocation advice, financial planning, and portfolio management. Brian also provides educational seminars and pension consulting services. Brian is dedicated to providing his clients with the highest quality investment advice and service.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
02/15/2017 - Present
Morgan Stanley (Miami Beach FL)
NJ
12/09/1994 - 01/10/2017
MERCER ALLIED COMPANY, L.P. (PARSIPPANY NJ)
NY
12/18/1984 - 12/09/1994
MERCER ALLIED CORPORATION (ALBANY NY)
IA
Issued 07/09/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/13/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/28/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Brian Rothman is the right advisor for you? Invested Better is here to help.
