Michael H. 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.
Michael Harris Rothstein, who also goes by Michael H Rothstein, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 10 firms and has passed the 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 26, 2010 - December 10, 2010
DAVID LERNER ASSOCIATES, INC.
July 2, 2002 - December 10, 2004
PARK AVENUE SECURITIES LLC
May 3, 1999 - July 7, 2000
PARK AVENUE SECURITIES LLC
May 26, 1994 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
March 3, 1993 - May 10, 1994
BROADPOINT DESCAP
April 24, 1991 - May 31, 1991
ROBERT TODD FINANCIAL CORP.
March 2, 1989 - May 31, 1991
ROBERT TODD FINANCIAL CORP.
May 18, 1988 - March 10, 1989
INVESTORS CENTER, INC.
March 9, 1988 - May 25, 1988
LEHMAN BROTHERS INC.
September 17, 1987 - February 23, 1988
KUHNS BROTHERS & LAIDLAW, INC.
January 21, 1987 - June 22, 1987
PHILIPS, APPEL & WALDEN, INC.
December 23, 1986 - February 18, 1987
KUREEN & COOPER, 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
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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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