Norman T. Rothschild
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.
Norman Theodore Rothschild was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1954. Norman had worked at 9 firms and has passed the Series 4 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 1985 - March 3, 1997
J. ALEXANDER SECURITIES, INC.
February 22, 1982 - August 29, 1984
MEYERS SECURITIES CORPORATION
January 5, 1981 - August 18, 1981
L. WELLER & CO.
June 13, 1978 - January 31, 1981
PELORUS SECURITIES, INC.
May 27, 1975 - June 9, 1978
N. T. ROTHSCHILD & CO. INC
May 22, 1975 - July 5, 1975
DEUTSCHE IXE, LLC
December 12, 1973 - August 1, 1974
SECURITIES CLEARING CORPORATION
March 7, 1973 - May 27, 1973
NDF SECURITIES CORPORATION
January 30, 1954 - June 24, 1972
FIRST CALIF CORP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
J. ALEXANDER SECURITIES, INC.
CRD#: 7809 / SEC#: , 8-23204
Contact information
Documents
Disclosures
| Regulatory Event | 24 |
| Arbitration | 4 |
| Judgment/Lien | 1 |
Red Flags
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