Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roxanne? Claim Your ProfileRoxanne M Rubenstein has been in the financial industry since June 1999. She is currently a Registered Representative and Investment Adviser Representative at J.P. Morgan Securities LLC. Roxanne M Rubenstein has held previous positions at Morgan Stanley, 1st Global Capital Corp., and Wells Fargo Advisors, LLC. Roxanne M Rubenstein specializes in providing financial advice to individuals, high net worth individuals, corporations, insurance companies, charitable organizations, and pension plans.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
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2
NY
01/19/2022 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
TX
04/20/2017 - 08/24/2021
MORGAN STANLEY (Dallas TX)
TX
07/21/2014 - 09/29/2016
1ST GLOBAL CAPITAL CORP. (DALLAS TX)
TX
10/23/2013 - 04/24/2014
WELLS FARGO ADVISORS, LLC (PLANO TX)
TX
11/14/2012 - 08/27/2013
WELLS FARGO ADVISORS, LLC (PLANO TX)
TX
07/01/2003 - 10/29/2012
WELLS FARGO ADVISORS, LLC (PLANO TX)
NY
01/22/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 02/08/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/08/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/31/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/31/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
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Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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