David C. Rothman
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 Charles Rothman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1963. David had worked at 5 firms and has passed the Series 22 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 1982 - May 3, 1983
NATHAN & LEWIS SECURITIES, INC.
February 12, 1981 - November 25, 1983
CARDELL & ASSOCIATES, INCORPORATED
December 6, 1973 - January 30, 1975
BLINDER, ROBINSON & CO., INC.
March 18, 1971 - August 31, 1976
GREAT NORTHERN INVESTORS CORP.
March 29, 1963 - June 2, 1971
DALMAN 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
Series 1
Date: 4/15/1959
Registered Representative ExaminationCurrent Firm
NATHAN & LEWIS SECURITIES, INC.
CRD#: 8503 / SEC#: , 8-25463
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
| Bond | 1 |
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.
