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JR

Joseph S. Rothstein

BROWNSTONE INVESTMENT GROUP
New York, NY 10017
Some features on this profile are disabled
CRD#: 6080817
JR

Professional summary

Joseph Samuel Rothstein, who also goes by Joe Rothstein, Joseph S Rothstein, is a registered financial professional currently at BROWNSTONE INVESTMENT GROUP, LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2012. Joseph has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Rothstein | Joseph S 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) - BD

Click below to view Joseph Samuel Rothstein'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®
None

Experience

Current

April 3, 2018 - Present

BROWNSTONE INVESTMENT GROUP, LLC

Office #1: 505 Fifth Avenue 10th Floor, New York, NY 10017
BD
CRD#: 43884
New York, NY
Past

October 21, 2016 - March 23, 2018

STORMHARBOUR SECURITIES LP

BD
CRD#: 35997
NEW YORK, NY
Past

February 17, 2016 - October 19, 2016

ODEON CAPITAL GROUP LLC

BD
CRD#: 148493
NEW YORK, NY
Past

August 4, 2014 - November 12, 2015

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

August 8, 2012 - August 5, 2014

KGS-ALPHA CAPITAL MARKETS, L.P.

BD
CRD#: 151705
BOCA RATON, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
California
(7/2/2018)
RR
Colorado
(7/2/2018)
RR
Connecticut
(4/3/2018)
RR
New Jersey
(4/3/2018)
RR
New York
(4/3/2018)
RR
North Carolina
(4/3/2018)
RR
Ohio
(4/3/2018)
RR
Texas
(4/3/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/7/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

BI
BROWNSTONE INVESTMENT GROUP, LLC
BROWNSTONE INVESTMENT GROUP, LLC | THE WORLDVEST GROUP, LLC | FIFTY-FOUR CAPITAL PARTNERS

CRD#: 43884 / SEC#: , 8-50460

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
505 Fifth Avenue 10th Floor, New York, NY 10017
Mailing Address
505 Fifth Avenue 10th Floor, New York, NY 10017
Phone number
(212) 905-0550
Established
New York since 01/03/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BROWNSTONE INVESTMENT OPPORTUNITIES, LLCSOLE MEMBER
BARTMESS, JOANNE CHRISTINEFINANCIAL AND OPERATIONS PRINCIPAL (01/1998), CHIEF FINANCIAL OFFICER (10/2009), PFO & POO (10/18)2922047
HUNTER, MICHELLE HALLACHIEF COMPLIANCE OFFICER2689083
LOWEY, DOUGLAS BENNETTMANAGER, PRESIDENT, CHIEF EXECUTIVE OFFICER1932929
SABLOWSKY, JON SCOTTCHIEF OPERATING OFFICER1515334

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

BROWNSTONE INVESTMENT GROUP, LLC

CRD#: 43884New York, NY 10017

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