Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Howard Rothschild is a financial professional with over 30 years of experience in the financial services industry. Peter currently works at East Wind Securities, LLC and is registered in 12 states. Peter has passed the Series 7, Series 24, Series 63, Series 79TO and Series 99TO exams. Peter previously worked at DAROTH CAPITAL ADVISORS LLC and DRESDNER KLEINWORT WASSERSTEIN, INC. Peter has been actively involved in the industry since April 7, 1993.
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.
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.
1
2
NY
12/12/2018 - Present
East Wind Securities, LLC (NEW YORK NY)
NY
09/03/2002 - 12/10/2018
DAROTH CAPITAL ADVISORS LLC (NEW YORK NY)
NY
01/28/1997 - 10/23/2001
DRESDNER KLEINWORT WASSERSTEIN, INC. (NEW YORK NY)
NY
04/24/1992 - 12/24/1996
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 06/02/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/11/1994
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional 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 10/12/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Peter Rothschild is the right advisor for you? Invested Better is here to help.
