Brad Anders Rothbaum
Professional Summary
Brad Anders Rothbaum is a registered financial advisor currently at APPIA FINANCIAL SERVICES located in Jersey City, New Jersey. Brad is registered as a RR (Registered Representative) and started their career in finance in 1988. Brad has worked at 7 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
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Disclosures on record.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
APPIA FINANCIAL SERVICES | APPIA FINANCIAL SERVICES, LLC
Contact Information
Main Address
101 Hudson Street 21st Floor, Jersey City, NJ, 07302Mailing Address
101 Hudson Street 21st Floor, Jersey City, NJ, 07302Phone Number
(201) 633-2310Established
Delaware since 10/25/2024Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (9 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(3/12/2026)
(2/20/2026)
(2/27/2026)
(6/26/2026)
(2/24/2026)
(2/17/2026)
(2/23/2026)
(5/27/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jul 2003SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Brad Anders Rothbaum's CRS (Customer Relationship Summary).
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