Stephen O. Rothschild
Professional summary
Stephen Otto Rothschild, who also goes by Steve Rothschild, is a registered financial professional currently at VALMARK SECURITIES, INC. located in Phoenix, Arizona.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1973. Stephen has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Otto Rothschild's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2002 - Present
VALMARK SECURITIES, INC.
February 8, 2010 - December 3, 2014
M21 CONSULTING
January 5, 2007 - December 31, 2025
VALMARK ADVISERS, INC.
May 15, 1998 - December 31, 2005
ROTHSCHILD SALE & ASSOCIATES INC
April 21, 1987 - September 30, 2002
WALNUT STREET SECURITIES, INC.
July 25, 1984 - April 21, 1987
AMERICAN CAPITAL EQUITIES, INC.
April 2, 1973 - June 3, 1987
GENERAL AMERICAN LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/30/2002)
(9/30/2002)
(10/30/2002)
(9/30/2002)
(9/30/2002)
(9/30/2002)
(9/30/2002)
(9/30/2002)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/24/1973
Registered Representative ExaminationFINRA
Current Firm
VALMARK SECURITIES, INC.
CRD#: 31243 / SEC#: , 8-45463
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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