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For Advisors
DR

David Rothberg

Some features on this profile are disabled
CRD#: 2646978
DR

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.

David Rothberg, who also goes by David Rothberg, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1995. David had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Rothberg

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.
1) Lakeland Bank. Address: Sparta,NJ. Nature of the Business: Bank/Credit Union Associate. Position/Title: Employee Investment Related:Yes. Start Date: 01/03/2022 Hours per month devoted to this business: 160. Hours per month devoted to this business during trading hours: 130. Description of duties: provide RJFS products and services to Lakeland bank customers. 2) Lakeland Financial Services. Address: Sparta, NJ Nature of the Business: Support Company/DBA (Non-Owner). Position/Title: Advisor Investment Related: No. Start Date: 01/03/2022 Hours per month devoted to this business: 0. Hours per month devoted to this business during trading hours: 0. Description of duties: financial advisor for Lakeland Bank clients. 3) Haddonview Associates, LLC Address: 1 Mac Arthur Blvd Haddon Township, NJ Nature of the Business: Rental Real Estate Position/Title: Partner Investment Related: Yes. Start Date: 01/02/2000 Hours per month devoted to this business: 0. Hours per month devoted to this business during trading hours: 0. Description of duties: Passive interest as limited partner. No duties. Name of Business: Haddonview LLC Address: short hills , NJ, 07078, United States - Activity Type: Rental Real Estate - Position/Title: - Investment Related: Yes - Start Date: 01/01/1999 Hours per month devoted to this business: 0-1 - Hours per month devoted to this business during trading hours: 0-1 - Description of duties:

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 14, 2022 - January 18, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Sparta, NJ
Past

January 12, 2022 - January 18, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
FRANKLIN, NJ
Past

April 17, 2018 - May 12, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
SPARTA, NJ
Past

April 11, 2018 - May 12, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SPARTA, NJ
Past

February 12, 2016 - April 10, 2018

M&T SECURITIES, INC.

RIA
CRD#: 17358
RANDOLPH, NJ
Past

February 10, 2016 - April 10, 2018

M&T SECURITIES, INC.

BD
CRD#: 17358
RANDOLPH, NJ
Past

July 6, 2015 - February 2, 2016

SANTANDER SECURITIES LLC

RIA
CRD#: 41791
JERSEY CITY, NJ
Past

July 6, 2015 - February 2, 2016

SANTANDER SECURITIES LLC

BD
CRD#: 41791
JERSEY CITY, NJ
Past

May 3, 2013 - June 26, 2015

M&T SECURITIES, INC.

RIA
CRD#: 17358
PAOLI, PA
Past

May 3, 2013 - June 26, 2015

M&T SECURITIES, INC.

BD
CRD#: 17358
PAOLI, PA
Past

January 10, 2012 - April 25, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NEW YORK, NY
Past

January 10, 2012 - April 25, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEW YORK, NY
Past

December 1, 2009 - January 17, 2012

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
NEW YORK, NY
Past

November 23, 2009 - January 17, 2012

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

December 20, 2006 - November 11, 2009

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
MILLBURN, NJ
Past

December 20, 2006 - November 11, 2009

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
MILLBURN, NJ
Past

June 8, 2006 - December 31, 2006

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
NEW YORK, NY
Past

January 1, 2005 - December 31, 2006

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

August 12, 2004 - January 1, 2005

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

July 13, 2004 - August 4, 2004

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
WHITEHOUSE STATION, NJ
Past

July 13, 2004 - August 4, 2004

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PITTSBURGH, PA
Past

March 22, 2004 - July 1, 2004

WAMU INVESTMENTS, INC.

RIA
CRD#: 599
WATCHUNG, NJ
Past

March 22, 2004 - July 1, 2004

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

January 1, 2004 - March 19, 2004

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
WESTFIELD, NJ
Past

January 1, 2004 - March 19, 2004

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PITTSBURGH, PA
Past

September 11, 2003 - January 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA
CRD#: 453
WESTFIELD, NJ
Past

June 1, 2002 - January 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
LOUISVILLE, KY
Past

June 24, 1997 - June 1, 2002

PNC BROKERAGE CORP

BD
CRD#: 34671
PITTSBURGH, PA
Past

January 9, 1997 - July 1, 1997

FLEET ENTERPRISES, INC.

BD
CRD#: 17434
NEW YORK, NY
Past

September 7, 1995 - December 10, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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".
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)

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
IAR
Series 66
Date: 10/15/2004
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/15/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/8/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/6/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/2/2004
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/20/2004
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/22/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/16/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/2/2001
General Securities Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)
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Contact information

Main Address
880 Carillon Parkway, Saint Petersburg, FL 33716
Mailing Address
Phone number
(727) 567-3020
Established
Firm type
Fiscal year end
# of Employees
6,727

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts1,030,208
AUM (Assets Under Management)$ 344,868,106,925

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/12/2025
Cover Page
Report
08/21/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Financial AdvisorCRD#: 149018

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Contact information

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xxxxx@xxxx.xxx

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