Howard Martin Rothman
Professional Summary
Howard Martin Rothman is a registered financial advisor currently at VISION INVESTMENT ADVISORS, LLC located in Stamford, Connecticut and VISION BROKERAGE SERVICES, LLC located in Stamford, Connecticut. Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Howard has worked at 9 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, Series 52TO, SIE, Series 7, Series 22, Series 3,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC
Contact Information
Main Address
1010 Washington Blvd Suite 300, Stamford, CT 06901Phone Number
(203) 388-2700# of Employees
9SEC notice filing (26 States and Territories)
Registered to provide investment advisory services in 26 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
129AUM (Assets Under Management)
$137,390,339Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | Cover Page | Report |
| 12/23/2024 | Cover Page | Report |
| 10/24/2023 | Cover Page | Report |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC
State Registrations and Notice Filings
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(11/26/1999)
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 22 — Direct Participation Programs Representative Examination
Passed Mar 1987About the Series 22 examSeries 39 — Direct Participation Programs Principal Examination
Passed Jan 1987About the Series 39 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Howard Martin Rothman's CRS (Customer Relationship Summary).
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