Jordan M. Rothenberg

GAMMA ASSET MANAGEMENT LLC

HOLLYWOOD, FL

Some features on this profile are disabled

CRD#: 2331537

Professional summary

Jordan Marc Rothenberg, who also goes by Jordan More Rothenberg, Jordan Rothenberg, is a registered financial advisor currently at GAMMA ASSET MANAGEMENT LLC located in Hollywood, Florida and GAMMA SECURITIES, LLC located in San Juan, .

Jordan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Jordan has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jordan More Rothenberg | Jordan Rothenberg

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.

GAMMA ASSET MANAGEMENT; INVESTMENT RELATED, REGISTERED INVESTMENT ADVISOR, Offer Investment management products and services to clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jordan Marc Rothenberg's CRS (Customer Relationship Summary).

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

June 9, 2023 - Present

GAMMA ASSET MANAGEMENT LLC

RIA

CRD#: 300050

HOLLYWOOD, FL

Current

May 30, 2023 - Present

GAMMA SECURITIES, LLC

Office #1: 500 Calle De La Tanca Suite 305 Ochoa Building, San Juan, PR 00901

CRD#: 298341

San Juan, PR

Past

March 20, 2020 - December 7, 2022

PNC CAPITAL MARKETS LLC

CRD#: 15647

Palm Beach Gardens, FL

Past

January 25, 2016 - December 7, 2022

PNC CAPITAL ADVISORS LLC

RIA

CRD#: 151829

Palm Beach Gardens, FL

Past

April 12, 2013 - December 3, 2015

PNC CAPITAL ADVISORS LLC

RIA

CRD#: 151829

Palm Beach Gardens, FL

Past

December 13, 2012 - December 31, 2019

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

Palm Beach Gardens, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GAMMA ASSET MANAGEMENT LLC

GAMMA ASSET MANAGEMENT LLC | GAMMA WEALTH MANAGEMENT, INC.

CRD#: 300050 / SEC#: 801-129754

RIA

Registered Investment Advisory firm - (3/27/2024 Approved)

Puerto Rico

Registered Investment Advisory firm - (3/27/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(8/17/2023)

New York
(5/30/2023)

Puerto Rico
(5/30/2023)

IAR

Puerto Rico
(6/9/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/21/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/12/2012

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 3/4/1993

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

GAMMA ASSET MANAGEMENT LLC

GAMMA ASSET MANAGEMENT LLC | GAMMA WEALTH MANAGEMENT, INC.

CRD#: 300050 / SEC#: 801-129754

RIA

Registered Investment Advisory firm - (3/27/2024 Approved)

Puerto Rico

Registered Investment Advisory firm - (3/27/2024 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Edificio Ochoa 500 Calle De La Tanca Suite 305, San Juan, PR 00901-1969

Mailing Address

Phone number

(787) 957-3260

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GAMMA ASSET MANAGEMENT, LLC. BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	87
AUM (Assets Under Management)	$ 269,236,959

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jordan M. Rothenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jordan Marc Rothenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

GAMMA SECURITIES, LLC

PNC CAPITAL MARKETS LLC

PNC CAPITAL ADVISORS LLC

PNC CAPITAL ADVISORS LLC

FORESIDE DISTRIBUTION SOLUTIONS, LLC

Primary Firm SEC Registration

GAMMA ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/21/2013

SIE

Date: 10/1/2018

Series 7

Date: 12/12/2012

Series 3

Date: 3/4/1993

FINRA

Current Firm

GAMMA ASSET MANAGEMENT LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GAMMA ASSET MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors