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Craig A. Rothfeld

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CRD#: 2528055
CR

Professional summary

Craig Adam Rothfeld was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Craig is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Craig had worked at 4 firms, which includes WJB CAPITAL GROUP INC., GLEACHER & COMPANY SECURITIES INC., FINANCIAL SQUARE PARTNERS, LEHMAN BROTHERS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Craig Rothfeld

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 22, 2002 - January 12, 2012

WJB CAPITAL GROUP, INC.

BD
CRD#: 37334
NEW YORK, NY
Past

October 24, 1995 - June 12, 1998

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

October 7, 1994 - October 17, 1995

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

September 6, 1994 - October 28, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/12/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/30/2002
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 6/18/2002
Compliance Officer Examination

Current Firm

WC
WJB CAPITAL GROUP, INC.
W.J. BONFANTI, INC. | WJB CAPITAL GROUP, INC.

CRD#: 37334 / SEC#: , 8-47700

BD
Cancelled by SEC on 08/12/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/25/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ROMANO, MICHAEL NICHOLASEXECUTIVE VICE PRESIDENT & TREASURER2357611
ROTHFELD, CRAIG ADAMCHIEF EXECUTIVE OFFICER & PRESIDENT AND CHIEF COMPLIANCE OFFICER2528055
MALESKI, GREGORY S.CHIEF FINANCIAL OFFICER/ SECRETARY/ASST TREASURER4499978

Disclosures

Regulatory Event6

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

WJB CAPITAL GROUP, INC.

CRD#: 37334

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