Michael J. Rothmeier
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.
Michael Jarrett Rothmeier, who also goes by Michael J Rothmeier, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 1996 - June 5, 1996
FIS SECURITIES, INC.
December 23, 1992 - February 8, 1996
SHAWMUT BROKERAGE, INC.
November 2, 1990 - April 29, 1992
FIDELITY BROKERAGE SERVICES LLC
January 12, 1990 - December 3, 1990
FIDELITY DISTRIBUTORS CORPORATION
November 23, 1988 - September 21, 1989
IDS LIFE INSURANCE COMPANY
November 23, 1988 - September 21, 1989
AMERIPRISE FINANCIAL SERVICES, 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
Exams
Current Firm
FIS SECURITIES, INC.
CRD#: 30533 / SEC#: , 8-44986
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLEET RI HOLDING CORP. | SOLE SHAREHOLDER | |
| BOTT, ROBERT LAWRENCE | VICE PRESIDENT | 1079745 |
| FROUDE, DONALD EDMUND | PRESIDENT | 1002120 |
| GAY, WILLIAM GEORGE | FINOP | 2899820 |
| LABARBERA, SALVATORE | VICE PRESIDENT | 872226 |
| MERCURIO, PASCAL JAMES | CHAIRMAN AND DIRECTOR | 825595 |
| NIGROSH, DIANE JOY | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT & SECRETARY | 863863 |
| QUICK, LESLIE CHARLES III | VICE PRESIDENT & DIRECTOR | 1079748 |
| QUICK, THOMAS CLARKSON | DIRECTOR | 1079750 |
| SCHAEFFNER, JENNIFER ANNE | DIRECTOR, VICE PRESIDENT | 1174120 |
Disclosures
| Regulatory Event | 1 |
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.
