HR
Howard M. Rothman
VISION INVESTMENT ADVISORS
STAMFORD, CT 06901
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CRD#: 1098190
HR
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, Series 27, Series 4, Series 24 and Series 39 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. 09/00 - PRESENT: VISION INVESTMENT ADVISORS, LLC -STAMFORD, CT; MEMBER OWNER;RIA FIRM; 5 HRS/MONTH DURING SECURITIES TRADING HOURS; MY DUTIES ARE TO COORDINATE THE REGISTRATION FILING REQUIREMENTS OF THE RIA. 2. 02/88 TO PRESENT: VISION FINANCIAL MARKETS, STAMFORD, CT- PRESIDENT AND CFO. 3. 07/1999 VISION BROKERAGE SERVICES, LLC. MANAGAING MEMBER. AFFILATE OF VISION FINANCIAL MARKETS LLC 4. 10/2014 TO PRESENT: HIGH RIDGE FUTURES LLC AND HIGH RIDGE HOLDING COMPANY LLC STAMFORD, CT- MEMBER AND PRINCIPAL. 5. Congregation Agudath Sholom is located at 301 Strawberry Hill Ave, Stamford, CT 06902. Not Investment Related. Start Date: July 2018. Congregation Agudath Sholom is an Non-Profit Orthodox Synagogue. Mr. Rothman is the Treasurer. He spends 2 hours working per month. 6. Powercore Management LLC, Start Date 08/2021 Stamford CT Director. Powercore is a registered Commodity Pool Operator. 1 hour per month; working during trading hours. 7. Long Ridge Research Group LLC, Start Date 01/2022 Stamford CT Owner. Long Ridge is research organization where new business opportunities are explored. 2 hours per month; 1/4 of time during regular market hours. 8. Bi-Cultural Hebrew Academy, Start Date 08/2023 Stamford CT President. Not Investment Related. Bi-Cultural Hebrew Academy is a Jewish private non-profit school. 10 hours per month; 4 hours of time during regular market hours. 9. 1381 E Putnam Partners LLC, Start Date 09/2024, Old Greenwich CT, Managing Member, Not Investment Related. Real Estate Investment. 1 Hour per Month, ) hours during regular market hours.
CRS (Client Relationship Summary) - RIA
Click below to view Howard Martin Rothman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 6, 2006 - Present
VISION INVESTMENT ADVISORS, LLC
Office #1: 1010 Washington Blvd Suite 300, Stamford, CT 06901RIA
CRD#: 109621
STAMFORD, CT
Current
March 10, 2000 - Present
VISION BROKERAGE SERVICES, LLC
Office #1: 1010 Washington Blvd, Suite 300, Stamford, CT 06901BD
CRD#: 47927
Stamford, CT
Current
January 10, 2008 - Present
VISION FINANCIAL MARKETS LLC
Office #1: 1010 Washington Blvd, Suite 300, Stamford, CT 06901Office #2: 1010 Washington Blvd Suite 300, Stamford, CT 06901BD
CRD#: 142271
Stamford, CT
Past
July 31, 1999 - December 31, 2000
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
May 1, 1998 - December 7, 1998
EMPIRE STATE SECURITIES
BD
CRD#: 17549
GREAT NECK, NY
Past
January 4, 1990 - April 2, 1997
WHITEHALL SECURITIES, INC.
BD
CRD#: 10529
NEW YORK, NY
Past
September 7, 1989 - December 31, 1989
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
BEDMINSTER, NJ
Past
May 21, 1987 - September 9, 1989
SUPER FUND SECURITIES CORP.
BD
CRD#: 18811
Past
July 8, 1983 - September 7, 1983
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VI
VISION INVESTMENT ADVISORS, LLC
VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC
CRD#: 109621 / SEC#: 801-57975
RIA
Registered Investment Advisory firm - (9/22/2000 Approved)California
Registered Investment Advisory firm - (11/11/2015 Terminated)Connecticut
Registered Investment Advisory firm - (10/13/2015 Terminated)Florida
Registered Investment Advisory firm - (10/12/2015 Terminated)Illinois
Registered Investment Advisory firm - (10/15/2015 Terminated)Michigan
Registered Investment Advisory firm - (10/26/2015 Terminated)Nebraska
Registered Investment Advisory firm - (10/12/2015 Terminated)New Jersey
Registered Investment Advisory firm - (10/29/2015 Terminated)New York
Registered Investment Advisory firm - (10/12/2015 Terminated)South Dakota
Registered Investment Advisory firm - (12/31/2015 Terminated)Tennessee
Registered Investment Advisory firm - (10/16/2015 Terminated)Texas
Registered Investment Advisory firm - (10/12/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/29/2008)
RR
Alaska(2/4/2008)
RR
Arizona(2/12/2008)
IAR
Arizona(1/26/2021)
RR
Arkansas(1/28/2008)
RR
California(1/17/2008)
IAR
California(2/19/2015)
RR
Colorado(2/1/2008)
RR
Connecticut(1/2/2001)
IAR
Connecticut(3/23/2007)
RR
Delaware(2/4/2008)
IAR
Delaware(1/13/2021)
RR
District of Columbia(1/16/2008)
RR
Florida(4/8/2008)
IAR
Florida(5/22/2015)
RR
Georgia(1/31/2008)
RR
Idaho(1/14/2008)
IAR
Idaho(1/19/2021)
RR
Illinois(1/14/2008)
IAR
Illinois(2/19/2015)
RR
Indiana(3/13/2008)
RR
Iowa(1/22/2008)
RR
Kansas(3/13/2008)
RR
Kentucky(1/10/2008)
RR
Louisiana(1/11/2008)
IAR
Louisiana(1/19/2021)
RR
Maine(2/22/2008)
RR
Maryland(1/29/2008)
RR
Massachusetts(1/30/2008)
IAR
Massachusetts(8/2/2021)
RR
Michigan(1/24/2008)
IAR
Michigan(2/19/2015)
RR
Minnesota(1/12/2008)
RR
Mississippi(1/18/2008)
RR
Missouri(2/22/2008)
RR
Montana(1/23/2008)
IAR
Nebraska(2/19/2015)
RR
Nebraska(12/23/2020)
RR
Nevada(3/6/2008)
IAR
Nevada(1/26/2021)
RR
New Hampshire(3/31/2008)
IAR
New Hampshire(2/9/2021)
RR
New Jersey(2/14/2008)
IAR
New Jersey(2/20/2015)
RR
New Mexico(2/28/2008)
IAR
New Mexico(1/14/2021)
RR
New York(11/26/1999)
RR
North Carolina(1/6/2021)
IAR
North Carolina(1/19/2021)
RR
North Dakota(1/11/2008)
RR
Ohio(1/4/2021)
IAR
Ohio(1/13/2021)
RR
Oklahoma(1/15/2008)
RR
Oregon(2/26/2008)
RR
Pennsylvania(3/31/2008)
IAR
Pennsylvania(1/13/2021)
RR
Puerto Rico(1/31/2008)
RR
Rhode Island(1/24/2008)
IAR
Rhode Island(6/23/2020)
RR
South Carolina(1/15/2008)
IAR
South Carolina(1/13/2021)
RR
South Dakota(1/15/2008)
RR
Tennessee(4/18/2008)
IAR
Tennessee(8/22/2015)
IAR
Texas(7/6/2006)
RR
Texas(2/14/2008)
RR
Utah(4/8/2008)
RR
Vermont(4/21/2008)
IAR
Vermont(1/14/2021)
RR
Virgin Islands(2/12/2008)
RR
Virginia(2/7/2008)
RR
Washington(1/11/2008)
RR
West Virginia(2/4/2008)
RR
Wisconsin(2/26/2008)
IAR
Wisconsin(1/13/2021)
RR
Wyoming(1/11/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
VI
VISION INVESTMENT ADVISORS, LLC
VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC
CRD#: 109621 / SEC#: 801-57975
RIA
Registered Investment Advisory firm - (9/22/2000 Approved)California
Registered Investment Advisory firm - (11/11/2015 Terminated)Connecticut
Registered Investment Advisory firm - (10/13/2015 Terminated)Florida
Registered Investment Advisory firm - (10/12/2015 Terminated)Illinois
Registered Investment Advisory firm - (10/15/2015 Terminated)Michigan
Registered Investment Advisory firm - (10/26/2015 Terminated)Nebraska
Registered Investment Advisory firm - (10/12/2015 Terminated)New Jersey
Registered Investment Advisory firm - (10/29/2015 Terminated)New York
Registered Investment Advisory firm - (10/12/2015 Terminated)South Dakota
Registered Investment Advisory firm - (12/31/2015 Terminated)Tennessee
Registered Investment Advisory firm - (10/16/2015 Terminated)Texas
Registered Investment Advisory firm - (10/12/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1010 Washington Blvd Suite 300, Stamford, CT 06901
Mailing Address
Phone number
(203) 388-2700
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 98 |
| AUM (Assets Under Management) | $ 117,879,479 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/24/2023 | ||
| 11/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
