Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Rothwell is a financial advisor currently registered with Morgan Stanley & Co. LLC and Wealthpenn.comllc. David has been in the industry since 2006 and holds the Series 16 license.
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.
1
2
NY
09/30/2022 - Present
Morgan Stanley & Co. LLC (NEW YORK NY)
NJ
09/30/2022 - 09/05/2023
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
NA
06/08/2016 - 09/07/2022
RBC CAPITAL MARKETS, LLC (LONDON )
NA
04/04/2011 - 12/15/2014
HSBC SECURITIES (USA) INC. (LONDON )
FL
02/09/2011 - 03/07/2011
E.S. FINANCIAL SERVICES, INC. (MIAMI FL)
NY
10/15/2008 - 02/04/2011
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
09/26/2007 - 11/04/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
06/20/2005 - 09/14/2007
KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)
NY
03/18/2005 - 06/16/2005
ING FINANCIAL MARKETS LLC (NEW YORK NY)
BC
Issued 03/15/2005
Series 16 - NYSE Supervisory Analyst Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
New York Stock Exchange
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