Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cory? Claim Your ProfileCory David Rothman is a financial advisor with over 16 years of experience in the industry. Currently, Cory is affiliated with Robert W. Baird & Co. Inc. in Stamford, CT and Roseland, NJ. Cory has held previous roles with Jefferies LLC, RBS Securities Inc., and Bear, Stearns & Co. Inc. Cory is a Series 63, Series 57TO, SIE and Series 7 licensed representative and holds registrations in Connecticut, New Jersey, and New York.
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.
See schedule d
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.
Hard dollar payments for research
1
2
CT
03/31/2016 - Present
Robert W. Baird & Co. Inc. (STAMFORD CT)
NY
07/05/2013 - 03/03/2016
JEFFERIES LLC (NEW YORK NY)
CT
11/25/2008 - 04/08/2013
RBS SECURITIES INC. (STAMFORD CT)
NY
01/05/2006 - 03/12/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 04/24/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/03/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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