Brian Rohm
Professional Summary
Brian Rohm, who also goes by Brian S Rohm, Brian Scott Rohm, was a registered financial advisor. Brian was a previously registered financial professional and started their career in finance 2007 - 2026. Brian had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 57TO, Series 7TO, SIE, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brian S Rohm, Brian Scott Rohm
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
E.F. HUTTON & CO. LLC | WH CAPITAL LLC
Contact Information
Main Address
745 Fifth Avenue 34th Floor & Ph, New York, NY 10151Mailing Address
745 Fifth Avenue 34th Floor & Ph, New York, NY 10151Phone Number
(212) 970-3700Established
Delaware since 03/20/2026Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed May 2022About the Series 52TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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