Individual Firm
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DANIEL G ROTHSCHILD
DANIEL GOODMAN ROTHSCHILD, Daniel G Rothschild
CRD#: 2565931
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 1819 Main St Ste 1002
10th Floor
Sarasota, FL 34236
10th Floor
Sarasota, FL 34236
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4/25/2009
Customer Dispute
Denied
4/16/2009
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 10/5/2018
B
New Jersey 10/5/2018
B
California 10/5/2018
B
New York 10/5/2018
IA
California 10/8/2018
B
North Carolina 9/10/2020
B
Colorado 10/5/2018
B
Oklahoma 6/8/2023
B
Connecticut 10/5/2018
B
Oregon 10/5/2018
B
Florida 10/5/2018
B
Pennsylvania 10/5/2018
IA
Florida 9/12/2023
B
Rhode Island 9/19/2022
B
Georgia 10/5/2018
B
Tennessee 3/6/2024
B
Idaho 1/6/2021
B
Texas 10/5/2018
B
Illinois 10/5/2018
IA
Texas 10/5/2018
B
Louisiana 10/5/2018
B
Utah 8/30/2023
B
Massachusetts 10/5/2018
B
Virginia 7/6/2021
B
Minnesota 10/10/2018
B
Washington 10/5/2018
B
Montana 9/4/2024
SRO Registrations
B
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IA
Registered with this firm since 10/5/2018
B
Registered with this firm since 10/5/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 10/09/2018 | WALNUT CREEK, CA | |
B | 06/01/2009 - 10/09/2018 | WALNUT CREEK, CA | |
IA | 04/27/2007 - 06/01/2009 | WALNUT CREEK, CA | |
B | 04/27/2007 - 06/01/2009 | WALNUT CREEK, CA | |
IA | 07/08/1997 - 05/10/2007 | WALNUT CREEK, CA | |
B | 08/19/1996 - 05/10/2007 | WALNUT CREEK, CA | |
B | 05/03/1995 - 02/12/1996 | PURCHASE, NY | |
B | 12/14/1994 - 03/15/1995 | MINNEAPOLIS, MN | |
B | 12/14/1994 - 03/15/1995 | MINNEAPOLIS, MN |
For additional information about investment advisers or broker-dealers, please visit
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.