Joseph C. 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.
Joseph Conte Rothman was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2003. Joseph had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2014 - April 17, 2017
LAKESHORE SECURITIES, L.P.
July 1, 2011 - July 7, 2014
WALLACHBETH CAPITAL LLC
February 24, 2011 - June 17, 2011
LINKBROKERS DERIVATIVES LLC
November 20, 2008 - January 4, 2011
ICE EXECUTION SERVICES, LLC
May 17, 2006 - April 2, 2008
SRT SECURITIES LLC
October 28, 2003 - April 24, 2006
D & D SECURITIES, 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
Current Firm
LAKESHORE SECURITIES, L.P.
CRD#: 34381 / SEC#: , 8-28820
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROSS VOL LLC | GENERAL PARTNER | |
| FLP TRADING LLC | GENERAL PARTNER | |
| GARZA, ALEXANDER BENJAMIN | LIMITED PARTNER | 4945272 |
| GREY WOLF CAPITAL LLC | GENERAL PARTNER | |
| GANNON, MARK EDWARD | FINOP AND CCO |
Disclosures
| Regulatory Event | 13 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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