Philip A. 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.
Philip Andrew Rothman, who also goes by Philip Andrew Rothman, Philip Rothman, Philip Andrew Rothman, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2016. Philip had worked at 5 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2020 - August 17, 2022
ARCSTONE SECURITIES LLC
July 23, 2019 - January 8, 2020
FIDELITY PRIME FINANCING
January 17, 2019 - December 31, 2019
FIDELITY DISTRIBUTORS CORPORATION
January 17, 2019 - January 8, 2020
FIDELITY DISTRIBUTORS COMPANY LLC
February 24, 2016 - January 8, 2020
NATIONAL FINANCIAL SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
ARCSTONE SECURITIES LLC
CRD#: 306029 / SEC#: , 8-70439
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
