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MATTHEW HARRIS ROTTENBERG
MATT ROTTENBERG
CRD#: 6070147
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 500 CAMPUS DRIVE
2ND FLOOR
FLORHAM PARK, NJ 07932
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2015 - Present (9 years)BVANGUARD MARKETING CORPORATION (CRD# 7452)2014 - 2015 (<1 year)
License(s)

State Registrations

B
Arizona 6/11/2019

B
New Jersey 8/28/2015

B
California 1/9/2017

IA
New Jersey 9/9/2015

B
Colorado 1/9/2017

B
New Mexico 1/23/2019

B
Connecticut 1/9/2017

B
New York 1/9/2017

B
Delaware 1/17/2018

B
North Carolina 1/9/2017

B
District of Columbia 4/26/2021

B
Oklahoma 2/24/2021

B
Florida 1/9/2017

B
Oregon 1/9/2017

B
Georgia 1/23/2019

B
Pennsylvania 1/9/2017

B
Hawaii 6/14/2023

B
Rhode Island 4/18/2018

B
Idaho 9/24/2024

B
South Carolina 1/9/2017

B
Illinois 1/9/2017

B
Tennessee 1/23/2019

B
Indiana 1/17/2018

B
Texas 1/9/2017

B
Iowa 9/19/2024

IA
Texas 1/31/2018

B
Maine 2/24/2021

B
Vermont 2/24/2021

B
Maryland 1/9/2017

B
Virginia 1/9/2017

B
Massachusetts 1/9/2017

B
Washington 9/13/2024

B
Michigan 1/9/2017

B
Wisconsin 3/27/2024

B
Nevada 1/9/2017

B
Wyoming 1/9/2017

B
New Hampshire 1/23/2019

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
500 CAMPUS DRIVE 2ND FLOOR, FLORHAM PARK, NJ 07932
Princeton, NJ
Registered with this firm since 9/9/2015

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
500 CAMPUS DRIVE 2ND FLOOR, FLORHAM PARK, NJ 07932
Princeton, NJ
Registered with this firm since 8/28/2015

Previous Registration(s)
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B
09/02/2014 - 08/18/2015 VANGUARD MARKETING CORPORATION (CRD#:7452) MALVERN, PA
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
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.