Oliver J. Rothauser
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.
Oliver James Rothauser, who also goes by Oliver Rothauser, was a registered financial professional .
Oliver is a previously registered financial professional and started their career in finance in 2003. Oliver had worked at 5 firms and has passed the Series 63, SIE 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
November 30, 2021 - November 30, 2022
MIDDLEMARCH SECURITIES LLC
December 4, 2017 - December 20, 2019
DEUTSCHE BANK SECURITIES INC.
January 9, 2008 - March 17, 2009
BGC FINANCIAL, L.P.
January 3, 2007 - December 7, 2007
TULLETT PREBON FINANCIAL SERVICES LLC
September 17, 2003 - March 19, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
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
MIDDLEMARCH SECURITIES LLC
CRD#: 283508 / SEC#: , 8-69758
Contact information
FINRA licenses (8 States and Territories)
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.
