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Thomas Bryan Rothwell

DWS Distributors, Inc.

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About Thomas Bryan Rothwell

Thomas Bryan Rothwell is a financial advisor with DWS Distributors, Inc. in Jacksonville, Florida. Thomas has been in the financial industry since October 2000 and is currently registered with FINRA and the state of Florida. He has passed the Series 7, Series 9, Series 10, Series 24, Series 63 and Series 66 exams. Thomas has previously worked for DIRECTED SERVICES LLC, AXA ADVISORS, LLC, and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.

Firm Information

Thomas Rothwell is currently registered with DWS Distributors, Inc.. DWS Distributors, Inc. is a corporation formed in September 1994 and is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 5 regulatory events and 1 arbitration case.

Not reported

Assets Under Management

Not reported

Total Clients

51

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Thomas Rothwell’s Registration & Firm History

FL

10/29/2018 - Present

DWS Distributors, Inc. (JACKSONVILLE FL)

FL

03/16/2016 - 10/15/2018

DIRECTED SERVICES LLC (Jacksonville FL)

FL

10/30/2015 - 02/03/2016

AXA ADVISORS, LLC (JACKSONVILLE FL)

FL

09/27/2000 - 11/19/2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JACKSONVILLE FL)

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Licenses & Designations

BOTH

Issued 06/12/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/11/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/17/2006

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/22/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/30/2005

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/26/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Bryan Rothwell.
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