Michael A. Rothstein

TRUIST ADVISORY SERVICES

CHARLOTTE, NC 28202

Some features on this profile are disabled

CRD#: 5029834

Professional summary

Michael A Rothstein, who also goes by Michael A Rothstein, Michael A. Rothstein, Michael Rothstein, Michael Aaron Rothstein, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Charlotte, North Carolina and TRUIST INVESTMENT SERVICES, INC. located in Charlotte, North Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael A Rothstein | Michael A. Rothstein | Michael Rothstein | Michael Aaron 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael A Rothstein's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 12, 2021 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 214 N Tryon St Fl 46, Charlotte, NC 28202

RIA

CRD#: 283390

CHARLOTTE, NC

Current

March 12, 2021 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 214 N Tryon St Fl 46, Charlotte, NC 28202

CRD#: 17499

CHARLOTTE, NC

Past

January 1, 2021 - March 10, 2021

PFS INVESTMENTS INC.

CRD#: 10111

PARAMUS, NJ

Past

November 27, 2020 - March 10, 2021

PFS INVESTMENTS INC.

RIA

CRD#: 10111

PARAMUS, NJ

Past

July 19, 2019 - November 4, 2019

CHOREO, LLC

RIA

CRD#: 111221

CHARLOTTE, NC

Past

June 27, 2017 - December 6, 2018

NATIONWIDE SECURITIES, LLC

CRD#: 11173

CHARLOTTE, NC

Past

July 8, 2013 - September 15, 2016

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

GARDEN CITY PARK, NY

Past

May 29, 2013 - September 15, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

GARDEN CITY PARK, NY

Past

May 27, 2008 - June 6, 2013

LPL FINANCIAL LLC

CRD#: 6413

ARDSLEY, NY

Past

October 25, 2005 - May 27, 2008

IFMG SECURITIES, INC.

CRD#: 14416

FRANKLIN SQUARE, NY

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".

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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.

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

Maryland
(3/4/2022)

IAR

North Carolina
(3/12/2021)

North Carolina
(3/15/2021)

South Carolina
(3/12/2021)

Virginia
(3/4/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/19/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/3/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/13/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/24/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/2025

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

303 Peachtree Street 2nd Floor, Atlanta, GA 30303

Mailing Address

Po Box 4418 Mc 107, Atlanta, GA 30302

Phone number

(800) 874-4770

Established

Firm type

Fiscal year end

# of Employees

2,469

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	124,363
AUM (Assets Under Management)	$ 67,736,740,585

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/24/2025	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

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.

Similar Advisors

David Thompson

SPARTA WEALTH PARTNERS

IAR

CHARLOTTE, NC

Jon Hoyle

INNOVATION PARTNERS LLC

Charlotte, NC

Andrew Digirolamo

PFS INVESTMENTS INC.

Charlotte, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael A. Rothstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael A Rothstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

CHOREO, LLC

NATIONWIDE SECURITIES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/19/2019

Series 66

Date: 7/3/2013

Series 63

Date: 2/13/2006

SIE

Date: 10/1/2018

Series 7

Date: 10/24/2005

Series 24

Date: 8/4/2025

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors