Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Rothstein is a financial advisor with Truist Advisory Services, Inc. Michael has been in the financial services industry since 2008. Michael holds a Series 63, 65, 66, and 7 license. Michael is registered with FINRA and the state of North Carolina. Michael's experience includes previous roles with J.P. Morgan Securities LLC, Nationwide Securities, LLC, IFMG Securities, Inc., and LPL Financial LLC. Michael specializes in financial planning, portfolio management, and publication of periodicals. Michael also provides wrap fee product and financial profiling services using desktop software.
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.
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.
Wrap fee product and financial profiling services using desktop software
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.
A percentage of the total value of assets under management is charged.
1
2
NC
03/12/2021 - Present
Truist Advisory Services, Inc. (CHARLOTTE NC)
NJ
01/01/2021 - 03/10/2021
PFS INVESTMENTS INC. (PARAMUS NJ)
NC
06/27/2017 - 12/06/2018
NATIONWIDE SECURITIES, LLC (CHARLOTTE NC)
NY
05/29/2013 - 09/15/2016
J.P. MORGAN SECURITIES LLC (GARDEN CITY PARK NY)
NY
05/27/2008 - 06/06/2013
LPL FINANCIAL LLC (ARDSLEY NY)
NY
10/25/2005 - 05/27/2008
IFMG SECURITIES, INC. (FRANKLIN SQUARE NY)
IA
Issued 7/19/2019
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 7/3/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 2/13/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Michael Rothstein is the right advisor for you? Invested Better is here to help.
Copyright 2024 Invested Better
Invested Better, LLC ("Invested Better") provides a matching service whereby users are connected with third-party financial advisors ("Advisors") who are registered and licensed as financial advisors in the United States and have elected to participate in our matching platform. Information provided by users through our online questionnaire facilitates the determination of suitable Advisor matches. Invested Better receives a set cost per lead compensation from Advisors in exchange for this referral service.
Please be advised that Invested Better does not evaluate the ongoing performance of any Advisor, nor does it participate in the management of user accounts or provide advice regarding specific investments. We do not manage client funds or hold assets in custody. Our role is solely to facilitate connections between users and potentially suitable financial advisors. All investing involves inherent risks, including the potential loss of principal. There is no guarantee that working with an advisor will result in positive returns. Potential downsides include the payment of fees, which can reduce overall returns. The existence of a fiduciary duty does not preclude the potential for conflicts of interest.
Invested Better maintains a directory of all actively registered financial advisors and firms based on the public filings with FINRA and SEC. Advisors and firms may verify their identity to claim and take control to update and edit their profile information. Invested Better does not guarantee the accuracy of any information updated by advisors or firms on their profile.
