Robert 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.
Robert Rothman was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1974. Robert had worked at 7 firms and has passed the Series 63, Series 7 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
January 17, 1998 - September 1, 1998
SALOMON BROTHERS INC.
January 17, 1994 - October 23, 2012
CITIGROUP GLOBAL MARKETS INC.
January 2, 1990 - January 28, 1994
LEHMAN SPECIAL SECURITIES INC.
January 2, 1990 - January 28, 1994
LEHMAN GOVERNMENT SECURITIES INC.
November 26, 1979 - January 17, 1994
LEHMAN BROTHERS INC.
January 18, 1978 - November 26, 1979
LOEB PARTNERS
June 3, 1974 - January 18, 1978
LOEB, RHOADES & CO. 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: 5/30/1974
Registered Representative ExaminationCurrent Firm
SALOMON BROTHERS INC.
CRD#: 740 / SEC#: , 8-26920
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
