Michael A. Rothstein
Professional summary
Michael Aaron Rothstein, who also goes by Michael A Rothstein, Michael Rothstein, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Charlotte, North Carolina and VANGUARD MARKETING CORPORATION 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 10 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Aaron Rothstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 13, 2026 - Present
VANGUARD ADVISERS, INC.
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262April 13, 2026 - Present
VANGUARD MARKETING CORPORATION
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262March 12, 2021 - March 24, 2026
TRUIST ADVISORY SERVICES, INC.
March 12, 2021 - March 24, 2026
TRUIST INVESTMENT SERVICES, INC.
January 1, 2021 - March 10, 2021
PFS INVESTMENTS INC.
November 27, 2020 - March 10, 2021
PFS INVESTMENTS INC.
July 19, 2019 - November 4, 2019
CHOREO, LLC
June 27, 2017 - December 6, 2018
NATIONWIDE SECURITIES, LLC
July 8, 2013 - September 15, 2016
J.P. MORGAN SECURITIES LLC
May 29, 2013 - September 15, 2016
J.P. MORGAN SECURITIES LLC
May 27, 2008 - June 6, 2013
LPL FINANCIAL LLC
October 25, 2005 - May 27, 2008
IFMG SECURITIES, INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/13/2026)
(4/13/2026)
(4/13/2026)
Exams
FINRA
Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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
VANGUARD ADVISERS, INC.
CRD#: 106715Charlotte, NC 28262TRUST BUT VERIFY
Monitor Michael Rothstein
Get automatic monthly alerts on:
