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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ryan? Claim Your ProfileRyan Warner Rothermund is a financial advisor with Raymond James & Associates, Inc. Ryan has over 18 years of experience in the financial services industry. Ryan is a CERTIFIED FINANCIAL PLANNER™ professional and holds the Series 6, 7, 31, and 63 licenses. Ryan has worked with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Ryan is registered with the following states: Arizona, California, Colorado, District of Columbia, Florida, Hawaii, Kentucky, Missouri, Montana, New Jersey, New York, North Carolina, Ohio, Texas, Utah, Virginia, and Washington. Ryan is a member of the United Food Bank - Mesa, AZ Finance Committee.
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.
Please see note in schedule d - miscellaneous
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
AZ
09/10/2024 - Present
Raymond James & Associates, Inc. (SCOTTSDALE AZ)
AZ
06/01/2009 - 09/21/2012
MORGAN STANLEY SMITH BARNEY (SCOTTSDALE AZ)
AZ
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SCOTTSDALE AZ)
AZ
05/26/2006 - 04/02/2007
MORGAN STANLEY DW INC. (SCOTTSDALE AZ)
PA
10/11/2004 - 03/20/2006
VANGUARD MARKETING CORPORATION (MALVERN PA)
IA
Issued 06/09/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/14/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 05/25/2006
Series 7 - General Securities Representative Examination
BC
Issued 10/07/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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