Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Rothman is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Robert has been in the financial industry since 1986 and has worked for several firms, including UBS Financial Services Inc. and Sanford C. Bernstein & Co., LLC. Robert has a Series 7, Series 31, Series 63, and Series 65 license. Robert also has a SIE license. Robert has a diverse background and is able to provide services to a variety of client types. He is registered with the FINRA, the SEC, and several state regulators. Robert is also a director of the Larchmont Traffic Commission in Larchmont, NY.
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
NY
01/12/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
02/27/2009 - 11/27/2017
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
12/07/2000 - 03/11/2009
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
05/21/1986 - 12/07/2000
SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)
IA
Issued 04/21/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/16/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/09/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 05/17/1986
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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