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MICHAEL ROTHMAN
CRD#: 3005292
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 150 S WARNER RD
FL 2 - PREMIER
KING OF PRUSSIA, PA 19406
FL 2 - PREMIER
KING OF PRUSSIA, PA 19406
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 150 S WARNER ROAD
FL 2 - PREMIER
KING OF PRUSSIA, PA 19406
FL 2 - PREMIER
KING OF PRUSSIA, PA 19406
0
Disclosures
19
Years of Experience
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State Registrations
B
Pennsylvania 7/14/2021
IA
Pennsylvania 7/14/2021
SRO Registrations
B
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IA
Registered with this firm since 7/14/2021
B
Registered with this firm since 7/14/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/04/2014 - 08/06/2021 | KING OF PRUSSIA, PA | |
B | 02/05/2010 - 08/06/2021 | KING OF PRUSSIA, PA | |
B | 01/05/2007 - 12/24/2008 | PHILADELPHIA, PA | |
B | 10/28/2002 - 06/20/2005 | OAKS, PA |
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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.