Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rebecca? Claim Your ProfileRebecca Susan Rothstein is a financial advisor with over 30 years of experience in the industry. Currently, Rebecca is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and works out of their Beverly Hills and Reno offices. Prior to joining Merrill Lynch, Rebecca has held positions at Morgan Stanley, Citigroup Global Markets Inc., BT Alex. Brown Incorporated, Alex. Brown & Sons Incorporated, Bear, Stearns & Co. Inc., Toluca Pacific Securities Corp., and Baraban Securities, Inc. Rebecca has a wide range of experience in advising individual and institutional clients, including high-net-worth individuals, corporations, and charitable organizations. Rebecca provides a variety of services, including portfolio management, financial planning, and retirement planning.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NV
10/23/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RENO NV)
CA
06/01/2009 - 10/31/2012
MORGAN STANLEY (BEVERLY HILLS CA)
CA
01/15/1999 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BEVERLY HILLS CA)
MD
09/01/1997 - 01/27/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NA
10/11/1992 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
NY
01/04/1988 - 10/09/1992
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
07/15/1987 - 01/04/1988
TOLUCA PACIFIC SECURITIES CORP.
NA
05/21/1987 - 08/06/1987
BARABAN SECURITIES, INC.
IA
Issued 02/20/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/26/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/1988
Series 3 - National Commodity Futures Examination
BC
Issued 05/16/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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