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BR

Brad A. Rothbaum

APPIA FINANCIAL SERVICES
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 1802673
BR

Professional summary

Brad Anders Rothbaum is a registered financial professional currently at APPIA FINANCIAL SERVICES located in New York, New York.

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.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brad Anders Rothbaum's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 29, 2026 - Present

APPIA FINANCIAL SERVICES

Office #1: 200 Vesey Street 24th Floor, New York, NY, 10281
BD
CRD#: 335559
NEW YORK, NY
Past

April 14, 2020 - January 31, 2024

CLEARPOOL EXECUTION SERVICES, LLC

BD
CRD#: 168490
NEW YORK, NY
Past

June 26, 2015 - October 20, 2015

BMO CAPITAL MARKETS GKST INC.

BD
CRD#: 8352
NEW YORK, NY
Past

December 16, 2009 - July 17, 2024

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
New York, NY
Past

March 22, 2005 - December 13, 2005

INFM SECURITIES LLC

BD
CRD#: 132850
GREENWICH, CT
Past

August 19, 1991 - December 21, 2009

PALOMA SECURITIES L.L.C.

BD
CRD#: 24234
GREENWICH, CT
Past

April 19, 1988 - July 11, 1991

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(2/17/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 6/4/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/7/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/14/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/3/1993
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
APPIA FINANCIAL SERVICES
APPIA FINANCIAL SERVICES | APPIA FINANCIAL SERVICES, LLC

CRD#: 335559 / SEC#: , 8-71348

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
200 Vesey Street 24th Floor, New York, NY, 10281
Mailing Address
200 Vesey Street 24th Floor, New York, NY, 10281
Phone number
(646) 952-8699
Established
Delaware since 10/25/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
APPIA CAPITAL PARTNERS LLCOWNER
PECKHOLDT, KEITH EDWARDFINANCIAL AND OPERATIONS PRINCIPAL1271599
PICONE, EUGENEVICE PRESIDENT - SECURITIES LENDING4997432
ROTHBAUM, BRAD ANDERSCHIEF COMPLIANCE OFFICER1802673
STRACQUADANIO, JOHNCHIEF EXECUTIVE OFFICER1643369

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.

Company Information

APPIA FINANCIAL SERVICES

CRD#: 335559New York, NY 10281

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