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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Rothberg is a financial advisor with Wells Fargo Clearing Services, LLC, registered with FINRA and the state of New York. Eric has been in the industry since March 4, 1987 and has experience working with a wide range of clients, including individuals, businesses, corporations, institutions, and trusts. Eric has been registered with Wells Fargo Advisors LLC since February 2011 and Wells Fargo Clearing Services, LLC since November 2016. Eric's areas of expertise include investment consulting services, financial planning, pension consulting, selection of other advisors, portfolio management for businesses and individuals.
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.
Investment consulting services to institutional clients
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.
1
2
NY
07/27/2021 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
NY
10/07/2005 - 03/15/2011
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
MO
10/01/1999 - 10/07/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
07/02/1999 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
03/01/1995 - 07/12/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 03/06/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
01/23/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
CO
11/24/1990 - 01/22/1991
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
CO
10/13/1989 - 11/30/1990
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
NY
06/26/1989 - 10/25/1989
STRATTON OAKMONT INC. (LAKE SUCCESS NY)
NA
05/05/1988 - 10/02/1989
F.D. ROBERTS SECURITIES, INC.
NA
04/07/1989 - 06/27/1989
STRATTON SECURITIES, INC.
NA
04/19/1988 - 05/11/1988
AMERIMUTUAL CORPORATION
NA
01/27/1988 - 04/19/1988
DUNHILL, LORD & COMPANY
NA
01/25/1988 - 02/10/1988
I. A. RABINOWITZ & CO.
NA
11/03/1987 - 11/25/1987
GLADSTONE SECURITIES, INC.
NA
10/01/1987 - 11/17/1987
PRESTIGE INVESTORS, INC.
NA
07/09/1987 - 10/07/1987
INVESTMENT BROKERS OF AMERICA
NA
12/26/1986 - 06/29/1987
THE STUART-JAMES COMPANY, INC.
BC
Issued 01/06/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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