Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jonathan? Claim Your ProfileJonathan David Rothman is a financial advisor at UBS Financial Services Inc., located in Warren, NJ. Jonathan has been a registered representative in the securities industry since 2013. Jonathan has a wide range of experience in the financial services industry, including working at both Morgan Stanley and Rose & Co. Capital Advisors, LLC. Jonathan's financial expertise is demonstrated by his series 7, 24, 66, 79, and SIE licenses. He also holds state securities licenses in numerous states. Jonathan specializes in portfolio management for individuals and businesses, and also provides financial planning services. Jonathan has a strong reputation for providing clients with personalized financial guidance, and he is committed to helping his 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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
See schedule d - miscellaneous
1
2
NJ
09/29/2022 - Present
UBS Financial Services Inc. (Warren NJ)
NJ
07/05/2016 - 10/19/2022
MORGAN STANLEY (Warren NJ)
NY
05/19/2014 - 06/03/2016
ROSE & CO. CAPITAL ADVISORS, LLC (NEW YORK NY)
BOTH
Issued 07/13/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/22/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/2013
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 09/10/2013
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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