Stephen O. 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.
Stephen Otto Rothschild, who also goes by Steve Rothschild, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1973. Stephen had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2010 - December 3, 2014
M21 CONSULTING
January 5, 2007 - December 31, 2025
VALMARK ADVISERS, INC.
September 30, 2002 - October 1, 2026
VALMARK SECURITIES, 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
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Visual representation of state registrations
Exams
What does exam status mean?
Series 7TO
Passed: 1/2/2023
General Securities Representative ExaminationCurrent Firm
M21 CONSULTING
CRD#: 152586 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
