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Dean M Rothman

Park Avenue Securities LLC

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About Dean M Rothman

Dean Rothman is a registered representative of Park Avenue Securities LLC, with over 20 years of experience in the financial services industry. Dean's areas of specialization include fixed income, mutual funds, and retirement planning. Dean holds the Series 7, Series 63, Series 55, and Series 66 securities licenses, and the Series 57TO trader license. Dean's professional experience includes prior employment with NDB Capital Markets, LP. Dean provides a variety of financial services to individuals, businesses, and institutions, including investment advisory services, financial planning, and retirement planning.

Firm Information

Dean Rothman is currently registered with Park Avenue Securities LLC. Park Avenue Securities LLC is a Limited Liability Company registered in the state of New York and has been operating since August 20, 1998. They provide financial planning and portfolio management services to individuals, high net worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and captive insurance clients. The firm has a nationwide reach with registered offices in 53 states and the District of Columbia.
Park Avenue Securities LLC

10 HUDSON YARDS

NEW YORK, NY 10001

$11.88B

Assets Under Management

38,141

Total Clients

2,244

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Dean Rothman’s Registration & Firm History

NY

05/04/2018 - Present

Park Avenue Securities LLC (GARDEN CITY NY)

NY

08/11/2000 - 07/01/2002

NDB CAPITAL MARKETS, LP (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 10/20/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/08/2001

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 11/02/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/10/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Dean M Rothman. Review regulatory record here.
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