Andrew C. Rothstein
Professional summary
Andrew Calvin Rothstein was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Andrew had worked at 5 firms, which includes FFP SECURITIES INC., OSAIC WEALTH INC., CINCINNATI ANALYSTS INC., CETERA WEALTH SERVICES LLC, PENNSYLVANIA SECURITIES COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 1996 - October 20, 1999
FFP SECURITIES, INC.
April 26, 1995 - August 3, 1995
OSAIC WEALTH, INC.
November 11, 1993 - May 2, 1995
CINCINNATI ANALYSTS, INC.
May 23, 1989 - October 26, 1993
CETERA WEALTH SERVICES, LLC
October 25, 1983 - May 23, 1989
PENNSYLVANIA SECURITIES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FFP SECURITIES, INC.
CRD#: 16337 / SEC#: , 8-33728
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | 100% OWNERSHIP | |
| DOZA, JANICE M | CFO | 4663841 |
| FINDALL, LINDA SUE | SROP | 1187842 |
| FRIEDMAN, TIMOTHY NATHAN | CROP | 1967603 |
| HAEDIKE, CHRISTINE D | CCO, DIRECTOR, FFP SECURITIES, INC. | 2489703 |
| HATTON, ROBERT ALLAN | CHIEF OPERATING OFFICER | 1985166 |
| JUNKINS, CRAIG ALLEN | CEO/PRESIDENT/CHAIRMAN OF THE BOARD | 830565 |
| RODERMUND, ROBIN HENRY | DIRECTOR, FFP SECURITIES, INC. | 2097379 |
| YANNAKAKIS, ANNE KANELA | CHIEF LEGAL OFFICER | 4197441 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 10 |
| Bond | 1 |
Red Flags
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