Steven I. Rothbart
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.
Steven I Rothbart, who also goes by Steven Rothbart, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1990. Steven had worked at 18 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2017 - April 6, 2018
DAWSON JAMES SECURITIES, INC.
June 28, 2017 - July 7, 2017
HORNOR, TOWNSEND & KENT, LLC
September 20, 2016 - May 3, 2017
DAVID LERNER ASSOCIATES, INC.
January 28, 2010 - May 21, 2010
LEGEND TRADING, LLC
March 25, 2009 - August 24, 2009
ACCESS SECURITIES, LLC
October 6, 2008 - March 11, 2009
SANDERS MORRIS LLC
October 2, 2007 - October 3, 2008
CLEARVIEW TRADING ADVISORS, INC.
February 15, 2007 - October 2, 2007
BROADBAND CAPITAL MANAGEMENT, LLC
September 19, 2005 - February 15, 2007
STONEHAVEN, LLC
May 4, 2005 - September 19, 2005
CARLIN EQUITIES, LLC
August 31, 2004 - May 2, 2005
GRACE FINANCIAL GROUP LLC
November 18, 2003 - August 24, 2004
PUGLISI & CO.
June 12, 2003 - October 15, 2003
SAFIR SECURITIES, INC.
November 27, 2002 - June 4, 2003
AVIAN SECURITIES, LLC
November 1, 1994 - April 18, 1997
NEEDHAM & COMPANY, LLC
May 13, 1992 - October 25, 1994
SBC WARBURG DILLON READ INC.
January 6, 1992 - May 20, 1992
NASH, WEISS & CO.
January 9, 1990 - February 4, 1991
GLOBAL PARTNERS SECURITIES 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
Series 55
Date: 11/13/2002
Limited Representative-Equity Trader ExamCurrent Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
