Matthew D. Rothchild
Professional summary
Matthew David Rothchild is a registered financial professional currently at FENNEL located in New York, New York.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 2011. Matthew has worked at 6 firms and has passed the Series 66, Series 50, Series 99TO, Series 52TO, Series 57TO, SIE, Series 7, Series 54, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew David Rothchild's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 2026 - Present
FENNEL
Office #1: 450 Lexington Avenue 4th Floor, New York, NY 10017February 1, 2022 - October 24, 2022
PRIVATE WEALTH ASSET MANAGEMENT
September 10, 2021 - December 21, 2021
PRIVATE WEALTH ASSET MANAGEMENT
November 4, 2013 - August 5, 2021
ADVANCED ADVISOR GROUP, LLC
August 6, 2013 - August 5, 2021
EFS ADVISORS
January 8, 2013 - August 5, 2021
ADVANCED ADVISOR GROUP, LLC
June 13, 2012 - January 10, 2013
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
June 6, 2011 - June 13, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 11/4/2022
Securities Trader ExamFINRA
Current Firm
FENNEL
CRD#: 316281 / SEC#: , 8-70779
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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