Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Rothman is an active broker with Bofa Securities, Inc. Jeffrey has been in the industry since March 10, 2000 and has a wide range of experience, having worked at several prominent firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, J.P. Morgan Securities LLC, Citigroup Global Markets Inc., HSBC Securities (USA) Inc. and Salomon Smith Barney Inc. Jeffrey holds several licenses and certifications, including Series 7, Series 24, Series 63 and Series 79TO. Jeffrey has been registered in 52 states.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
NY
05/10/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
10/18/2012 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
01/31/2012 - 10/04/2012
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
08/07/2006 - 03/11/2010
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/20/2003 - 03/06/2006
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
12/18/1998 - 01/06/2003
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
12/24/1996 - 12/18/1998
CITICORP SECURITIES, INC. (NEW YORK NY)
BC
Issued 02/04/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/20/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1996
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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