KR
Kenneth Rothman
ETORO USA SECURITIES
Hoboken, NJ 07030
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CRD#: 6310742
KR
Professional summary
Kenneth Rothman is a registered financial professional currently at ETORO USA SECURITIES INC. located in Hoboken, New Jersey.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2019. Kenneth has worked at 2 firms and has passed the Series 66, Series 57TO, Series 7TO, SIE, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kenneth 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
November 23, 2021 - Present
ETORO USA SECURITIES INC.
Office #1: 221 River Street 9th Floor, Hoboken, NJ 07030BD
CRD#: 298361
Hoboken, NJ
Past
May 2, 2019 - October 25, 2021
CNR SECURITIES, LLC
BD
CRD#: 18466
NEW YORK, NY
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
Alabama(2/28/2024)
RR
Alaska(2/28/2024)
RR
Arizona(2/28/2024)
RR
Arkansas(2/28/2024)
RR
California(2/28/2024)
RR
Colorado(2/28/2024)
RR
Connecticut(2/28/2024)
RR
Delaware(2/28/2024)
RR
District of Columbia(2/28/2024)
RR
Florida(2/28/2024)
RR
Georgia(2/28/2024)
RR
Hawaii(2/28/2024)
RR
Idaho(2/28/2024)
RR
Illinois(2/28/2024)
RR
Indiana(2/28/2024)
RR
Iowa(2/28/2024)
RR
Kansas(2/28/2024)
RR
Kentucky(2/28/2024)
RR
Louisiana(2/28/2024)
RR
Maine(2/28/2024)
RR
Maryland(2/28/2024)
RR
Massachusetts(2/28/2024)
RR
Michigan(2/28/2024)
RR
Minnesota(2/28/2024)
RR
Mississippi(2/28/2024)
RR
Missouri(2/28/2024)
RR
Montana(2/28/2024)
RR
Nebraska(2/28/2024)
RR
Nevada(2/28/2024)
RR
New Hampshire(2/28/2024)
RR
New Jersey(2/18/2022)
RR
New Mexico(2/28/2024)
RR
New York(2/28/2024)
RR
North Carolina(2/28/2024)
RR
North Dakota(2/28/2024)
RR
Ohio(2/29/2024)
RR
Oklahoma(2/28/2024)
RR
Oregon(2/28/2024)
RR
Pennsylvania(2/28/2024)
RR
Puerto Rico(2/28/2024)
RR
Rhode Island(2/28/2024)
RR
South Carolina(2/28/2024)
RR
South Dakota(2/28/2024)
RR
Tennessee(2/28/2024)
RR
Texas(2/28/2024)
RR
Utah(2/28/2024)
RR
Vermont(2/28/2024)
RR
Virgin Islands(2/28/2024)
RR
Virginia(2/28/2024)
RR
Washington(2/28/2024)
RR
West Virginia(2/28/2024)
RR
Wisconsin(2/28/2024)
RR
Wyoming(2/28/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 3/4/2024
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 7TO
Date: 5/2/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
EU
ETORO USA SECURITIES INC.
ETORO USA SECURITIES INC.
CRD#: 298361 / SEC#: , 8-70212
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
221 River Street 9th Floor, Hoboken, NJ 07030
Mailing Address
221 River Street 9th Floor, Hoboken, NJ 07030
Phone number
+1 (201) 479-0267
Established
Delaware since 07/20/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETORO US TRADING LLC | SHAREHOLDER | |
| BEN-SIMON, TAL DAVID | DIRECTOR | 7994172 |
| BIRON, ZIV | DIRECTOR | 7306620 |
| DIMAGGIO, CHARLIE F | FINOP | 6023789 |
| INBAR, SHIRAZ | DIRECTOR | 8182973 |
| MCCORMICK, ANDREW MICHAEL | CEO/HEAD OF US/ PRESIDENT/ DIRECTOR | 6706923 |
| MURPHY, NICOLE SUZANNE | CCO/DIRECTOR | 5461537 |
| TENNEKOON, ALAIN | US HEAD OF OPERATIONS AND SERVICE | 5296665 |
Disclosures
| Regulatory Event | 1 |
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.
