Rachael S. 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.
Rachael Sarah Rothman, who also goes by Rachael Sarah Morris, Rachael Sarah Rothman-ould, was a registered financial professional .
Rachael is a previously registered financial professional and started their career in finance in 2000. Rachael had worked at 4 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2010 - August 24, 2018
SUSQUEHANNA FINANCIAL GROUP, LLLP
May 20, 2009 - February 23, 2010
WEDBUSH SECURITIES INC.
September 10, 2002 - April 14, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 2000 - June 24, 2002
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SUSQUEHANNA FINANCIAL GROUP, LLLP
CRD#: 35865 / SEC#: , 8-44325
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
Red Flags
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