BR
Blair I. Rothstein
REGISTER FINANCIAL ADVISORS
Atlanta, GA 30326
Some features on this profile are disabled
CRD#: 4732734
BR
Professional summary
Blair Ian Rothstein, CFP®, who also goes by Blair Rothstein, is a registered financial advisor currently at REGISTER FINANCIAL ADVISORS, LLC located in Atlanta, Georgia and REGISTER FINANCIAL ASSOCIATES, INC. located in Atlanta, Georgia.
Blair is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Blair has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Blair Rothstein
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Blair Ian Rothstein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2013
Experience
Current
June 17, 2008 - Present
REGISTER FINANCIAL ADVISORS, LLC
Office #1: 3500 Lenox Road Suite 1700, Atlanta, GA 30326RIA
CRD#: 143884
Atlanta, GA
Current
July 28, 2006 - Present
REGISTER FINANCIAL ASSOCIATES, INC.
Office #1: 3500 Lenox Road Suite 1700, Atlanta, GA 30326BD
CRD#: 30568
Atlanta, GA
Past
July 28, 2006 - August 14, 2007
REGISTER FINANCIAL ASSOCIATES, INC.
RIA
CRD#: 30568
ATLANTA, GA
Past
August 9, 2004 - August 10, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ATLANTA, GA
Past
January 26, 2004 - August 10, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RF
REGISTER FINANCIAL ADVISORS, LLC
REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC
CRD#: 143884 / SEC#: 801-81190
RIA
Registered Investment Advisory firm - (4/17/2015 Approved)Alabama
Registered Investment Advisory firm - (4/22/2015 Terminated)Florida
Registered Investment Advisory firm - (4/17/2015 Terminated)Georgia
Registered Investment Advisory firm - (6/25/2015 Terminated)Louisiana
Registered Investment Advisory firm - (8/14/2015 Terminated)North Carolina
Registered Investment Advisory firm - (4/17/2015 Terminated)Texas
Registered Investment Advisory firm - (4/17/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/15/2010)
RR
California(7/28/2006)
RR
Colorado(1/3/2017)
RR
Connecticut(1/3/2019)
RR
Florida(7/28/2006)
RR
Georgia(7/28/2006)
IAR
Georgia(6/17/2008)
RR
Illinois(1/3/2023)
RR
Indiana(3/11/2010)
RR
Louisiana(7/28/2006)
RR
Massachusetts(1/14/2011)
RR
Missouri(2/15/2019)
RR
New Jersey(3/20/2013)
RR
New Mexico(7/8/2020)
RR
New York(11/30/2006)
RR
North Carolina(1/2/2020)
RR
Ohio(1/2/2020)
RR
Oklahoma(10/7/2025)
RR
Pennsylvania(10/23/2007)
RR
Rhode Island(7/29/2014)
RR
South Carolina(1/3/2019)
RR
Tennessee(10/12/2022)
RR
Texas(7/28/2006)
RR
Vermont(11/30/2023)
RR
Wisconsin(12/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
REGISTER FINANCIAL ADVISORS, LLC
REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC
CRD#: 143884 / SEC#: 801-81190
RIA
Registered Investment Advisory firm - (4/17/2015 Approved)Alabama
Registered Investment Advisory firm - (4/22/2015 Terminated)Florida
Registered Investment Advisory firm - (4/17/2015 Terminated)Georgia
Registered Investment Advisory firm - (6/25/2015 Terminated)Louisiana
Registered Investment Advisory firm - (8/14/2015 Terminated)North Carolina
Registered Investment Advisory firm - (4/17/2015 Terminated)Texas
Registered Investment Advisory firm - (4/17/2015 Terminated)PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3500 Lenox Road Suite 1700, Atlanta, GA 30326
Mailing Address
Phone number
(404) 364-2180
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 850 |
| AUM (Assets Under Management) | $ 488,454,320 |
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.
Company Information
REGISTER FINANCIAL ADVISORS, LLC
CRD#: 143884Atlanta, GA 30326TRUST BUT VERIFY
Monitor Blair Rothstein
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
