Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Howard? Claim Your ProfileHoward Rothberg is a financial advisor based in New York, New York. Howard has been working in the industry since 1993, and is currently registered with J.P. Morgan Securities LLC. Prior to joining J.P. Morgan Securities LLC, Howard was also registered with J.P. MORGAN SECURITIES INC., MORGAN STANLEY & CO., INCORPORATED, MORGAN STANLEY MARKET PRODUCTS INC., and CITICORP SECURITIES, INC. Howard is licensed to offer a variety of financial products and services, including: securities, commodities, and investment advisory services. Howard is committed to helping clients achieve their financial goals.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
10/01/2008 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
06/02/2003 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
08/31/1995 - 06/17/2003
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
08/31/1995 - 06/17/2003
MORGAN STANLEY MARKET PRODUCTS INC. (NEW YORK NY)
NY
01/14/1993 - 09/08/1995
CITICORP SECURITIES, INC. (NEW YORK NY)
BC
Issued 12/14/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/28/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2000
Series 3 - National Commodity Futures Examination
BC
Issued 01/12/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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