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Neil H. Rothenberg

Some features on this profile are disabled
CRD#: 2811200
NR

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.

Neil Harvey Rothenberg was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 1997. Neil had worked at 8 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

May 10, 2013 - November 8, 2013

SILVER LEAF PARTNERS, LLC

BD
CRD#: 126694
NEW YORK, NY
Past

August 24, 2012 - April 30, 2013

FOREFRONT CAPITAL MARKETS LLC

BD
CRD#: 151812
NEW YORK, NY
Past

June 2, 2011 - August 20, 2012

CV BROKERAGE, INC

BD
CRD#: 462
WILLIAMSTOWN, NJ
Past

September 22, 2010 - June 1, 2011

AURORA CAPITAL LLC

BD
CRD#: 37924
BRIDGEHAMPTON,, NY
Past

June 22, 2010 - September 24, 2010

BUCKMAN, BUCKMAN & REID, INC.

BD
CRD#: 23407
NEW YORK, NY
Past

May 20, 2002 - June 22, 2004

RAMIUS SECURITIES LLC

BD
CRD#: 41076
NEW YORK, NY
Past

January 13, 2001 - March 13, 2002

FIRST CITIZENS CAPITAL SECURITIES, LLC

BD
CRD#: 41504
NEW YORK, NY
Past

December 15, 1997 - October 29, 1998

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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: 7/2/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/2010
General Securities Representative Examination

Current Firm

SL
SILVER LEAF PARTNERS, LLC
SILVER LEAF PARTNERS, LLC

CRD#: 126694 / SEC#: , 8-65902

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
3 Columbus Circle Floor 15, New York, NY 10019
Mailing Address
3 Columbus Circle Floor 15, New York, NY 10019
Phone number
(212) 632-8421
Established
New York since 01/15/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
KHAN, M. FYZULCEO/CCO/MANAGING MEMBER3103833
LESHER, JAMES ELAMPOO1044046
TAO, BING QINFINOP/PFO6253793

Disclosures

Regulatory Event1

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

SILVER LEAF PARTNERS, LLC

CRD#: 126694

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