Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Norman Rothman is a financial advisor with Oppenheimer & Co. Inc. Philip has been in the financial services industry since 1986. Philip is registered as a Broker/Dealer with the state of New Jersey and as an Investment Advisor Representative with the state of Texas. Philip holds the Series 3, 7, 63 and 65 licenses as well as the SIE exam. Prior to joining Oppenheimer & Co. Inc. Philip was employed by Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Lehman Brothers Inc. and E. F. Hutton & Company Inc.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NJ
04/22/2016 - Present
Oppenheimer & Co. Inc. (PRINCETON NJ)
NJ
06/01/2009 - 05/10/2010
MORGAN STANLEY SMITH BARNEY (NEW BRUNSWICK NJ)
NJ
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW BRUNSWICK NJ)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/24/1986 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 05/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/1986
Series 3 - National Commodity Futures Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
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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