Howard S. Rothman
TRITONPOINT WEALTH | Executive Director
CHEVY CHASE, MD 20815
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CRD#: 5685224
Professional summary
Howard Stuart Rothman is a registered financial advisor currently at TRITONPOINT WEALTH, LLC located in Chevy Chase, Maryland.
Howard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Howard has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Biography
Howard Rothman is an Executive Director and Wealth Partner with J.P. Morgan Wealth Management. He serves a select group of entrepreneurs and families primarily in the MD-DC-VA metro region.
Howard believes private wealth management has never been simply about supervision of assets. Rather, he strives to gain an understanding of the interwoven story of a client's life to ensure that his approach reflects their values, traditions and unique personal goals. He embraces each chapter of this narrative, providing guidance, insight and partnership to individuals whose objective is to sustain financial success on their terms.
Away from the office, Howard plays a civic leadership role in both his professional and local communities.
Maryland Technology and Life Sciences Council
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Entity Name: Maryland Technology Council
Investment related: Yes
Address: 9841 Gaithersburg, MD
Nature of the other business: It is a Technology trade group serving the advanced Technology & Biotechnology communities in Maryland
Position/Title/Relationship: Director
Start Date: 04-Jun-2019
Approximate # of hours a month: 2
Approximate # of hours during securities trading hours: 2/8 months per year
Briefly describe your duties: Board of Director member
Entity Name: Northern Virginia Chamber of Commerce GovCon Awards
Investment related: Yes
Address: 7900 Tysons, VA
Nature of the other business: Not-for-Profit organization that awards honors the leaders and legends of the DC area Governmnet Contracting community
Position/Title/Relationship: Nominating committe member
Start Date: 15-Mar-2019
Approximate # of hours a month: 4 per week/7 months
Approximate # of hours during securities trading hours: 4 per week
Briefly describe your duties: Nominating committe member
CRS (Client Relationship Summary) - RIA
Click below to view Howard Stuart Rothman's 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®
NoneExperience
Current
October 31, 2024 - Present
TRITONPOINT WEALTH, LLC
Office #1: 5404 Wisconsin Ave Ste. 330, Chevy Chase, MD 20815RIA
CRD#: 328398
CHEVY CHASE, MD
Past
September 19, 2019 - August 7, 2023
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Washington, DC
Past
September 19, 2019 - August 7, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Washington, DC
Past
August 5, 2011 - September 30, 2019
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WASHINGTON, DC
Past
August 5, 2011 - September 30, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WASHINGTON, DC
Past
November 10, 2009 - August 23, 2011
MORGAN STANLEY
BD
CRD#: 149777
BETHESDA, MD
Past
October 9, 2009 - August 23, 2011
MORGAN STANLEY
RIA
CRD#: 149777
BETHESDA, MD
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".
TW
TRITONPOINT WEALTH, LLC
JOSE WEALTH VENTURES, LLC | TRITONPOINT WEALTH, LLC
CRD#: 328398 / SEC#: 801-128869
RIA
Registered Investment Advisory firm - (10/17/2023 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.Highlighted states indicate IAR registrations
IAR
Maryland(10/31/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TW
TRITONPOINT WEALTH, LLC
JOSE WEALTH VENTURES, LLC | TRITONPOINT WEALTH, LLC
CRD#: 328398 / SEC#: 801-128869
RIA
Registered Investment Advisory firm - (10/17/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5404 Wisconsin Ave Ste. 330, Chevy Chase, MD 20815
Mailing Address
Phone number
(301) 799-9001
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,476 |
| AUM (Assets Under Management) | $ 1,542,817,384 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2024 |
Red Flags
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Company Information
TRITONPOINT WEALTH, LLC
Executive DirectorCRD#: 328398Chevy Chase, MD 20815TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
