Individual Firm
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BRIAN SCOTT ROTHMAN
CRD#: 1312805
IA
B
MORGAN STANLEYCRD#: 149777 Miami Beach, FL
0
Disclosures
40
Years of Experience
View By:
State Registrations
B
Alabama 2/5/2019
B
New Jersey 2/15/2017
B
Arizona 2/15/2017
IA
New Jersey 2/16/2017
B
Arkansas 2/26/2020
B
New Mexico 1/25/2024
B
California 2/15/2017
B
New York 2/15/2017
B
Colorado 2/15/2017
IA
New York 4/27/2021
B
Connecticut 2/15/2017
B
North Carolina 2/15/2017
B
Delaware 2/15/2017
B
Ohio 2/16/2017
B
District of Columbia 2/15/2017
B
Oklahoma 12/6/2023
B
Florida 2/15/2017
B
Oregon 2/15/2017
IA
Florida 2/7/2020
B
Pennsylvania 2/15/2017
B
Georgia 2/15/2017
B
Puerto Rico 1/4/2022
B
Illinois 2/15/2017
B
Rhode Island 2/15/2017
B
Kansas 2/15/2017
B
South Carolina 2/15/2017
B
Louisiana 2/15/2017
B
South Dakota 12/6/2023
B
Maine 2/15/2017
IA
Texas 2/15/2017
B
Maryland 2/15/2017
B
Texas 3/14/2017
B
Massachusetts 2/15/2017
B
Vermont 2/15/2017
B
Michigan 2/15/2017
B
Virginia 2/15/2017
B
Missouri 2/15/2017
B
Washington 2/15/2017
B
Montana 12/20/2018
B
West Virginia 2/15/2017
B
Nevada 2/15/2017
B
Wisconsin 2/15/2017
B
New Hampshire 2/15/2017
B
Wyoming 2/15/2017
SRO Registrations
B
B
B
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/30/2002 - 01/10/2017 | PARSIPPANY, NJ | |
B | 12/09/1994 - 01/10/2017 | PARSIPPANY, NJ | |
B | 12/18/1984 - 12/09/1994 | ALBANY, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.