Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Rothfeld is a financial professional with over 30 years of experience in the securities industry. David is currently registered with American Portfolios Financial Services, Inc. and is licensed in California, Florida, New Jersey, New York, and North Carolina. David has also been registered with Avantax Investment Services, Inc., Cadaret, Grant & Co., Inc. and Global Capital Securities, Inc. David holds the Series 7 and Series 63 licenses. David's experience in the financial services industry spans several firms and positions.
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.
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.
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2
NY
11/15/2019 - Present
American Portfolios Financial Services, Inc. (Hicksville NY)
NY
11/16/2015 - 11/22/2019
AVANTAX INVESTMENT SERVICES, INC. (Hicksville NY)
NY
10/02/1989 - 11/06/2015
CADARET, GRANT & CO., INC. (HICKSVILLE NY)
NA
05/09/1989 - 10/02/1989
CADARET, GRANT & CO., INC.
NA
08/23/1988 - 05/22/1989
GLOBAL CAPITAL SECURITIES, INC.
BC
Issued 11/19/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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