Irwin J. Rothchild
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.
Irwin Joseph Rothchild was a registered financial advisor .
Irwin is a previously registered financial advisor and started their career in finance in 1972. Irwin had worked at 8 firms and has passed the Series 65, Series 63, PC, Series 1, Series 000 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2014 - December 11, 2014
HAVEN CAPITAL
January 10, 2001 - August 9, 2012
J.P. MORGAN SECURITIES LLC
December 5, 1979 - August 9, 2012
J.P. MORGAN SECURITIES LLC
October 13, 1978 - January 4, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 26, 1978 - November 2, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 1978 - October 20, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
May 12, 1977 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
May 9, 1974 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
January 10, 1972 - June 11, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 11/30/1982
AMEX Put and Call ExamSeries 1
Date: 1/5/1972
Registered Representative ExaminationSeries 000
Date: 1/1/1972
General Securities Principal ExaminationSeries 40
Date: 5/25/1977
Registered Principal ExaminationCurrent Firm
HAVEN CAPITAL
CRD#: 167334 / SEC#: 801-78567
Contact information
Red Flags
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