Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rita? Claim Your ProfileRita Rothstein is a financial advisor with over 20 years of experience in the financial services industry. Rita is currently registered with Morgan Stanley and has held previous positions with UBS Financial Services Inc. and Morgan Stanley DW Inc. Rita holds a Series 7, 31, and 66 licenses, and a SIE certification. Rita has extensive experience in financial planning, asset allocation, and portfolio management. Rita specializes in working with high-net-worth individuals, families, businesses, and institutions.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
CA
02/20/2020 - Present
Morgan Stanley (San Jose CA)
CA
06/03/2005 - 01/10/2014
UBS FINANCIAL SERVICES INC. (PALO ALTO CA)
NY
05/12/1999 - 06/06/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 05/27/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 05/11/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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