Neil B. 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.
Neil Barry Rothman JR, who also goes by Neil Barry Rothman, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 2002. Neil had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2018 - February 21, 2020
THIRD SEVEN CAPITAL LLC
July 12, 2017 - April 26, 2018
ENCLAVE CAPITAL LLC
March 11, 2013 - September 19, 2014
TOUCHSTONE SECURITIES, INC.
April 12, 2012 - December 17, 2012
THORNBURG SECURITIES LLC
April 16, 2010 - April 26, 2012
DWS DISTRIBUTORS, INC.
March 11, 2004 - April 9, 2010
LORD, ABBETT & CO. LLC
March 1, 2004 - April 9, 2010
LORD ABBETT DISTRIBUTOR LLC
January 7, 2002 - February 17, 2004
METROPOLITAN LIFE INSURANCE COMPANY
January 7, 2002 - February 17, 2004
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
THIRD SEVEN CAPITAL LLC
CRD#: 160209 / SEC#: , 8-69032
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
