Wayne P. Rothbaum
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.
Wayne Philip Rothbaum was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1996. Wayne had worked at 1 firm and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 1996 - November 19, 1996
EVOLUTION CAPITAL, 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
Current Firm
EVOLUTION CAPITAL, INC.
CRD#: 40590 / SEC#: , 8-49109
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THOMSON FINANCIAL INC. | DIRECT SHAREHOLDER | |
| FRIEDLAND, EDWARD ASHER | DIRECTOR, ASSISTANT SECRETARY | |
| HULLAND, DAVID JOHN | DIRECTOR | |
| ROTHBAUM, WAYNE PHILIP | CHIEF COMPLIANCE OFFICER/PRINCIPAL, SECRETARY | |
| STANLEY, DEIRDRE | DIRECTOR, V. PRES., ASSISTANT SECRETARY | |
| STOLTZ, MARC HAROLD | CHIEF FINANCIAL OFFICER | 1008943 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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