Jack S. 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.
Jack Solomon Rothstein was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1986. Jack had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2008 - October 29, 2013
MRM GROUP
June 27, 1996 - December 31, 2007
ROTHSTEIN INVESTMENT ADVISORY SERVICES INC
September 8, 1995 - October 2, 1995
IFG NETWORK SECURITIES, INC.
August 19, 1994 - September 6, 1995
OSAIC WEALTH, INC.
October 20, 1993 - September 13, 1994
CAPITOL SECURITIES MANAGEMENT, INC.
September 5, 1990 - December 8, 1993
LEGG MASON WOOD WALKER, INCORPORATED
August 19, 1988 - September 14, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 29, 1986 - September 19, 1988
FIRST UNION CAPITAL MARKETS CORP.
May 2, 1986 - October 1, 1986
INVESTORS SECURITY COMPANY, INC.
February 7, 1986 - May 7, 1986
GROVE POINT INVESTMENTS, 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
MRM GROUP
CRD#: 110898 / SEC#: 801-32996
Contact information
Regulatory assets under management
| Total Number of Accounts | 141 |
| AUM (Assets Under Management) | $ 53,613,862 |
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.
