Peter H. Rothschild
Professional summary
Peter Howard Rothschild, who also goes by Peter H Rothschild, is a registered financial professional currently at EAST WIND SECURITIES, LLC located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1992. Peter has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Howard Rothschild's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 12, 2018 - Present
EAST WIND SECURITIES, LLC
Office #1: 810 Seventh Avenue 35th Floor, New York, NY 10019September 3, 2002 - December 10, 2018
DAROTH CAPITAL ADVISORS LLC
January 28, 1997 - October 23, 2001
DRESDNER KLEINWORT WASSERSTEIN, LLC
April 24, 1992 - December 24, 1996
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/12/2018)
(12/12/2018)
(12/12/2018)
(12/12/2018)
(12/12/2018)
(12/12/2018)
(4/29/2019)
(12/12/2018)
(12/12/2018)
(4/22/2019)
(12/12/2018)
(12/22/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
EAST WIND SECURITIES, LLC
CRD#: 148032 / SEC#: , 8-67955
Contact information
FINRA licenses (12 States and Territories)
Red Flags
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