Randall F. 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.
Randall Frank Rothstein, who also goes by Randy Rothstein, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1989. Randall had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2010 - December 31, 2012
ROTHSTEIN WEALTH MANAGEMENT, LLC
August 7, 2003 - March 13, 2009
HORNOR, TOWNSEND & KENT, LLC
July 14, 2000 - March 13, 2009
HORNOR, TOWNSEND & KENT, LLC
November 8, 1990 - December 7, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 8, 1990 - December 7, 1990
EQUITABLE ADVISORS, LLC
June 18, 1990 - August 27, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 18, 1990 - August 27, 1990
EQUITABLE ADVISORS, LLC
May 15, 1990 - July 9, 1990
METROPOLITAN LIFE INSURANCE COMPANY
May 15, 1990 - July 9, 1990
MSI FINANCIAL SERVICES, INC.
January 25, 1989 - April 27, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 25, 1989 - April 27, 1990
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROTHSTEIN WEALTH MANAGEMENT, LLC
CRD#: 148199 / SEC#: 801-70491
Contact information
Red Flags
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