Michael L. Rothenberg
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.
Michael Lee Rothenberg was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1970. Michael had worked at 4 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 1983 - March 29, 2000
ROTHENBERG-ROSENFIELD INVESTMENTS INC
October 31, 1973 - November 4, 1974
W.E. BURNET, INC.
August 28, 1970 - December 14, 1973
AGIO CAPITAL CORPORATION
April 23, 1970 - November 22, 1973
SCHWEICKART & CO.
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
Series 1
Date: 6/12/1961
Registered Representative ExaminationSeries 00
Date: 9/11/1972
General Securities Principal ExaminationCurrent Firm
ROTHENBERG-ROSENFIELD INVESTMENTS INC
CRD#: 13927 / SEC#: , 8-31084
Contact information
Documents
Red Flags
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