Steven E. Rothstein
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.
Steven Elliot Rothstein was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 12 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2013 - December 12, 2022
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
December 12, 2006 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
May 25, 2006 - January 27, 2011
FSC SECURITIES CORPORATION
May 26, 2005 - January 27, 2011
OSAIC SERVICES, INC.
March 25, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
March 25, 2004 - October 31, 2005
SPELMAN & CO., INC.
March 25, 2004 - October 31, 2005
SENTRA SECURITIES CORPORATION
February 12, 2003 - March 3, 2009
ADVANTAGE CAPITAL CORPORATION
October 7, 1998 - May 24, 2000
SPECIALIZED INVESTMENTS DIVISION
September 30, 1991 - October 24, 2000
COREBRIDGE CAPITAL SERVICES, INC.
May 2, 1990 - January 27, 2011
OSAIC WEALTH, INC.
August 29, 1985 - April 27, 1990
INTEGRATED RESOURCES MARKETING, INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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