Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stacey? Claim Your ProfileStacey Rothman is a financial advisor with over 30 years of experience in the industry. Stacey is currently registered with Wells Fargo Clearing Services, LLC, and holds licenses in both Florida and Texas. Stacey has worked at a number of firms throughout her career including Raymond James & Associates, Inc., Wachovia Securities, LLC, First Union Brokerage Services, Inc., and Invest Financial Corporation. Stacey holds several licenses, including Series 63, 65, 7, 9, 10, 24, and 31. Stacey has a strong background in investment consulting, financial planning, pension consulting, and portfolio management. Stacey specializes in providing investment advice to individuals, corporations, and other businesses.
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.
Investment consulting services to institutional clients
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
FL
11/02/2023 - Present
Wells Fargo Clearing Services, LLC (TAMPA FL)
FL
03/15/2007 - 07/12/2007
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
MO
10/01/2000 - 03/01/2007
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
12/14/1994 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
WI
08/22/1989 - 12/09/1994
INVEST FINANCIAL CORPORATION (APPLETON WI)
BC
Issued 07/01/1996
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/10/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/25/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/20/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/06/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/04/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 08/19/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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