Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Jay Rothbard is a financial advisor with over 30 years of experience in the industry. Bruce is registered with Lion Street Advisors, LLC and has been with the firm since July 2020. Bruce has held previous roles at firms such as The Leaders Group, ING Financial Partners, Inc., Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, and Lincoln Financial Advisors Corporation. Bruce holds a variety of licenses and certifications, including Series 6, 7, 24, and 63. Bruce's areas of expertise include financial planning, pension consulting, and portfolio management for individuals and businesses.
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.
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.
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
TX
08/17/2020 - Present
Lion Street Advisors, LLC (AUSTIN TX)
CO
01/15/2013 - 08/11/2020
THE LEADERS GROUP, INC. (LITTLETON CO)
MN
09/08/2010 - 12/31/2012
ING FINANCIAL PARTNERS, INC. (STILLWATER MN)
NY
06/01/2009 - 07/12/2010
MORGAN STANLEY SMITH BARNEY (PURCHASE NY)
NY
03/20/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NJ
07/01/2003 - 01/17/2007
WACHOVIA SECURITIES, LLC (SUMMIT NJ)
NY
10/09/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IN
11/08/1991 - 10/17/2000
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
11/08/1991 - 10/17/2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
BC
Issued 10/07/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/21/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2000
Series 7 - General Securities Representative Examination
BC
Issued 11/06/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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