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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Rothberg has been in the industry since January 20, 1987. Samuel Rothberg is a registered representative of Ameriprise Financial Services, LLC in Ft Lauderdale, Florida. Samuel Rothberg is also a registered investment advisor representative with Ameriprise Financial Services, LLC. Prior to joining Ameriprise, Samuel Rothberg was employed by MORGAN STANLEY SMITH BARNEY and CITIGROUP GLOBAL MARKETS INC. Samuel Rothberg has passed the Series 63, Series 3 and Series 7 exams. Samuel Rothberg is currently registered to offer securities in the following states: Arizona, California, Florida, Georgia, Kentucky, Massachusetts, New York, North Carolina, Oregon, Tennessee, Virginia. Samuel Rothberg is also a part-time Rabbi at Temple Sinai of North Dade.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
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2
FL
02/12/2010 - Present
Ameriprise Financial Services, LLC (Ft Lauderdale FL)
FL
06/01/2009 - 02/23/2010
MORGAN STANLEY SMITH BARNEY (AVENTURA FL)
FL
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (AVENTURA FL)
NY
01/21/1987 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 01/29/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/23/1987
Series 3 - National Commodity Futures Examination
BC
Issued 01/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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