Jeffrey Rothman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Rothman, who also goes by Jeffrey Alan Rothman, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1983. Jeffrey had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2015 - November 5, 2015
FIRST EMPIRE SECURITIES, INC.
June 20, 2013 - January 15, 2014
NW CAPITAL MARKETS INC.
March 31, 2010 - April 10, 2013
BUCKMAN, BUCKMAN & REID, INC.
August 5, 2008 - September 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 2007 - August 29, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 23, 1997 - August 21, 2007
RYAN BECK & CO.
June 13, 1995 - February 21, 1997
MORGAN STANLEY DW INC.
September 27, 1993 - May 23, 1995
CITIGROUP GLOBAL MARKETS INC.
September 6, 1990 - September 28, 1993
LEHMAN BROTHERS INC.
April 20, 1983 - September 25, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 1983 - April 14, 1983
MOORE & SCHLEY, CAMERON & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST EMPIRE SECURITIES, INC.
CRD#: 15129 / SEC#: , 8-31701
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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