Brad A. Rothbaum
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.
Brad Anders Rothbaum was a registered financial professional .
Brad is a previously registered financial professional and started their career in finance in 1988. Brad had worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2020 - January 31, 2024
CLEARPOOL EXECUTION SERVICES, LLC
June 26, 2015 - October 20, 2015
BMO CAPITAL MARKETS GKST INC.
December 16, 2009 - July 17, 2024
BMO CAPITAL MARKETS CORP.
March 22, 2005 - December 13, 2005
INFM SECURITIES LLC
August 19, 1991 - December 21, 2009
PALOMA SECURITIES L.L.C.
April 19, 1988 - July 11, 1991
GLEACHER & COMPANY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 7/7/2003
Limited Representative-Equity Trader ExamCurrent Firm
CLEARPOOL EXECUTION SERVICES, LLC
CRD#: 168490 / SEC#: , 8-69313
Contact information
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 19 |
Red Flags
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