Marisa S. Rothstein
ADVISORY SERVICES NETWORK
Kinderhook, NY 12106
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CRD#: 6422888
Professional summary
Marisa Shana Rothstein, CFP® is a registered financial advisor currently at ADVISORY SERVICES NETWORK located in Kinderhook, New York.
Marisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Marisa has worked at 3 firms .
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.
1) Honest Leo Real Estate, LLC: managing member since 02/2021; purposes of company is to own and manage the office building of Siena Private. Time spent will be 2 hours per month, none during trading hours. Activity is not investment related. 2) Journey Home: Treasurer and serve on investment committee of non-profit since 06/2024. Time spent is six hours per month, 1 hour during trading hours. Not an investment related activity. 3) CT FPA: Volunteer and Board Member of non profit professional association since 01/2025. Professional association for financial planners of CT. No financial interest or compensation. 3hrs/month, 0hrs during trading hours 4) Rothstein & Co., CPA's: Tax Practice. 5) Financial Planning Association of New York; Board Member - Partnerships since 1/12/2023. Time spent is four hours per month, No financial interest or compensation. 0 hours during trading hours. Investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Marisa Shana 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®
CFP®
Start date: 2014
Experience
Current
November 1, 2019 - Present
ADVISORY SERVICES NETWORK
Office #1: 5 Chatham Street Po Box 231, Kinderhook, NY 12106Office #2: 57 North Main Street, West Hartford, CT 06107Office #3: 350 West 50th St., Suite 22f, New York, NY 10019RIA
CRD#: 146051
Kinderhook, NY
Past
September 16, 2016 - November 4, 2019
BAKERAVENUE
RIA
CRD#: 132657
New York, NY
Past
January 2, 2015 - October 27, 2015
ASSET STRATEGIES, INC.
RIA
CRD#: 119661
AVON, CT
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".
ADVISORY SERVICES NETWORK
4P WEALTH TRUST | REIDER CAPITAL MANAGEMENT | REAGAN WEALTH | REAGAN HOLLOWAY | RB WELBORN FINANCIAL | R. MEIER WEALTH MANAGEMENT | PRS INVESTMENT ADVISORS | PROVIDENCE WEALTH MANAGEMENT | PRIVATE RIDGE WEALTH MANAGEMENT | PRIVATE CLIENT GROUP | POPLE INVESTMENT MANAGEMENT | PLATINUM WEALTH ADVISORS | PIPER WEALTH MANAGEMENT | PINNACLE FINANCIAL SOLUTIONS | PFLEGER FINANCIAL SERVICES | PARO WEALTH MANAGEMENT | PALATINE HILL WEALTH MANAGEMENT | OPT ADVISORY | OLDE RALEIGH FINANCIAL GROUP | OHIO VALLEY WEALTH MANAGEMENT | OHANA FINANCIAL PLANNING | OAKMONT FINANCIAL PARTNERS | NORTHSHORE WEALTH ADVISORS | NEW PARADIGM WEALTH | NEW PARADIGM INVESTMENTS | MULLENAX ADVISORY GROUP | MOORE'S WEALTH ADVISORY | MONTEITH WEALTH STRATEGIES | MMX WEALTH PARTNERS | MILLER FINANCIAL | MHM CAPITAL MANAGEMENT | MH STRATEGIC ADVISORS | MCLAUGHLIN WEALTH MANAGEMENT | MCCLELLAN WEALTH MANAGEMENT | MARKET TRENDS ADVISORY | MARCHE WEALTH ADVISORY | MAP STRATEGIC WEALTH ADVISORS | MALLOCH WEALTH MANAGEMENT | MAKKAI CAPITAL GROUP | MAESTRO WEALTH ADVISORS | M6 WEALTH | LONE PINE ADVISORY SERVICES | LIGHTHOUSE INVESTMENTS | LIFE BY DESIGN INVESTMENT ADVISORY SERVICES | LIFE BY DESIGN ADVISORY SERVICES | LICHTMAN INVESTMENT ADVISORS | LFM WEALTH MANAGEMENT | LEGACY CAPITAL | LANDERS ADVISORY SERVICES | LANCE HOCUTT FINANCIAL GROUP | KUHN WEALTH ADVISORS | KORADE WEALTH MANAGEMENT | KNOX & DOWNING ADVISORS | KLINE PRIVATE WEALTH | KINGDOM WEALTH MANAGEMENT | KENETEX WEALTH MANAGEMENT | KARP ASSET MANAGEMENT | JUNIPER INVESTMENT & FINANCIAL PLANNING | JUDGE ASSET MANAGEMENT | JOYCE WEALTH ADVISORY | JOHNSON LANE ADVISORY PARTNERS | JCN FINANCIAL & TAX PLANNING GROUP | IRONWOOD WEALTH MANAGEMENT | INVESTMENT PLANNING SOLUTIONS | INTUITIVE WEALTH ADVISORS | INTENTIONAL WEALTH PLANNING | INTELLIPLAN ADVISORS | INFLECTION POINT WEALTH ADVICE | INFINITY ADVISORY GROUP | IHS CAPITAL MANAGEMENT | HOWARD FINANCIAL SERVICES | HLK ASSET MANAGEMENT | HILLTOP WEALTH MANAGEMENT | HIGH POINT PRIVATE | HARRIS WEALTH MANAGEMENT | HARRELL CAPITAL MANAGEMENT | HARBOR WEALTH ADVISORS | GUY P JONES CFP | GREER CAPITAL | GREENVILLE CAPITAL | GREENBERG WEALTH MANAGEMENT | GRAYSTONE PLANNING | GOTTHOLD WEALTH MANAGEMENT | GLOBAL WEALTH MANAGEMENT GROUP | GARRARD WEALTH MANAGEMENT | FPF GLOBAL ADVISORS | FOUNDATIONAL WEALTH ADVISORY | FORTY4 FINANCIAL | FOOTHILLS CAPITAL MANAGEMENT | FONTE FINANCIAL ADVISORS | FND WEALTH MANAGEMENT | FLOW WEALTH MANAGEMENT | FLEMING INVESTMENT MANAGEMENT | FIVE POINTS ADVISORY | FINANCIAL ANALYSTS | FIDUCIARY PRIVATE WEALTH | FANNO CAPITAL MANAGEMENT | EVERSTRONG ADVISORS | EVERGREEN WEALTH MANAGEMENT | EQUILIBRIUM WEALTH | EQUABLE PORTFOLIO MANAGEMENT | ENHANCE WEALTH | EASTERN CAROLINA WEALTH MANAGEMENT | DUET WEALTH MANAGEMENT | DSP WEALTH STRATEGIES | DREW CAPITAL MANAGEMENT | DKP WEALTH | DEER CREEK CAPITAL | DARWIN | CZ ADVISORY & CONSULTING | CROWN WEALTH MANAGEMENT | CROSSWIND INVESTMENTS | COURTNEY WEALTH ADVISORS | CLEAR PATH FINANCIAL SERVICES | CLARITE WEALTH ADVISORS | CHATHAM STREET ADVISORS | CANTERBURY | CANNON ADVISORS | CAMPBELL HARNESS CAPITAL WEALTH MANAGEMENT | BSSF WEALTH | BRUCE WEALTH GROUP | BRANCHES+ROOTS INVESTMENT MANAGEMENT | BOULEVARD WEALTH PARTNERS | BOOKMARK ADVISORS | BOGAR LK ADVISORY SERVICES | BLUEWATER INVESTMENT STRATEGIES | BLACKWOOD WEALTH MANAGEMENT | BLACK BRIDGE ADVISORS | BELL CAPITAL GROUP | BECKLEY, WHITENER & WETMORE WEALTH ADVISORS | BAYTRUST WEALTH MANAGEMENT | BAYSWATER CAPITAL | BAY REEF CAPITAL | BATTERY PRIVATE | BARRINGTON FINANCIAL ADVISORS | BALANCED WEALTH ADVISORS | ATLAS INVESTMENT ADVISORS | ASSOCIATED CAPITAL ADVISORS | ASN | ASCENTIS FAMILY WEALTH | ARGENTORA WEALTH MANAGEMENT | ARELLANO FINANCIAL PARTNERS | APPLEBY YUDENFREUN WEALTH MANAGEMENT & CONSULTING | APG CAPITAL ASSET MANAGEMENT | APEX CAPITAL WEALTH MANAGEMENT | ANGLIN INVESTMENT PARTNERS | ANCHOR PRIVATE PLANNING | ANALYTICAL CAPITAL | ALPINE PEAKS ADVISORS | ALPEN WEALTH ADVISORY GROUP | ALKEMI CAPITAL | ADVISORY SERVICES NETWORK, LLC | ADVISORY SERVICES NETWORK | ADVANCED INVESTMENT MANAGEMENT | ACUITY WEALTH ADVISORS | ACTUS CAPITAL MANAGEMENT...
CRD#: 146051 / SEC#: 801-71112
RIA
Registered Investment Advisory firm - (2/16/2010 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
Connecticut(11/1/2019)
IAR
New Hampshire(1/7/2025)
IAR
New York(4/7/2021)
IAR
Texas(1/7/2025)
Exams
Current Firm
ADVISORY SERVICES NETWORK
4P WEALTH TRUST | REIDER CAPITAL MANAGEMENT | REAGAN WEALTH | REAGAN HOLLOWAY | RB WELBORN FINANCIAL | R. MEIER WEALTH MANAGEMENT | PRS INVESTMENT ADVISORS | PROVIDENCE WEALTH MANAGEMENT | PRIVATE RIDGE WEALTH MANAGEMENT | PRIVATE CLIENT GROUP | POPLE INVESTMENT MANAGEMENT | PLATINUM WEALTH ADVISORS | PIPER WEALTH MANAGEMENT | PINNACLE FINANCIAL SOLUTIONS | PFLEGER FINANCIAL SERVICES | PARO WEALTH MANAGEMENT | PALATINE HILL WEALTH MANAGEMENT | OPT ADVISORY | OLDE RALEIGH FINANCIAL GROUP | OHIO VALLEY WEALTH MANAGEMENT | OHANA FINANCIAL PLANNING | OAKMONT FINANCIAL PARTNERS | NORTHSHORE WEALTH ADVISORS | NEW PARADIGM WEALTH | NEW PARADIGM INVESTMENTS | MULLENAX ADVISORY GROUP | MOORE'S WEALTH ADVISORY | MONTEITH WEALTH STRATEGIES | MMX WEALTH PARTNERS | MILLER FINANCIAL | MHM CAPITAL MANAGEMENT | MH STRATEGIC ADVISORS | MCLAUGHLIN WEALTH MANAGEMENT | MCCLELLAN WEALTH MANAGEMENT | MARKET TRENDS ADVISORY | MARCHE WEALTH ADVISORY | MAP STRATEGIC WEALTH ADVISORS | MALLOCH WEALTH MANAGEMENT | MAKKAI CAPITAL GROUP | MAESTRO WEALTH ADVISORS | M6 WEALTH | LONE PINE ADVISORY SERVICES | LIGHTHOUSE INVESTMENTS | LIFE BY DESIGN INVESTMENT ADVISORY SERVICES | LIFE BY DESIGN ADVISORY SERVICES | LICHTMAN INVESTMENT ADVISORS | LFM WEALTH MANAGEMENT | LEGACY CAPITAL | LANDERS ADVISORY SERVICES | LANCE HOCUTT FINANCIAL GROUP | KUHN WEALTH ADVISORS | KORADE WEALTH MANAGEMENT | KNOX & DOWNING ADVISORS | KLINE PRIVATE WEALTH | KINGDOM WEALTH MANAGEMENT | KENETEX WEALTH MANAGEMENT | KARP ASSET MANAGEMENT | JUNIPER INVESTMENT & FINANCIAL PLANNING | JUDGE ASSET MANAGEMENT | JOYCE WEALTH ADVISORY | JOHNSON LANE ADVISORY PARTNERS | JCN FINANCIAL & TAX PLANNING GROUP | IRONWOOD WEALTH MANAGEMENT | INVESTMENT PLANNING SOLUTIONS | INTUITIVE WEALTH ADVISORS | INTENTIONAL WEALTH PLANNING | INTELLIPLAN ADVISORS | INFLECTION POINT WEALTH ADVICE | INFINITY ADVISORY GROUP | IHS CAPITAL MANAGEMENT | HOWARD FINANCIAL SERVICES | HLK ASSET MANAGEMENT | HILLTOP WEALTH MANAGEMENT | HIGH POINT PRIVATE | HARRIS WEALTH MANAGEMENT | HARRELL CAPITAL MANAGEMENT | HARBOR WEALTH ADVISORS | GUY P JONES CFP | GREER CAPITAL | GREENVILLE CAPITAL | GREENBERG WEALTH MANAGEMENT | GRAYSTONE PLANNING | GOTTHOLD WEALTH MANAGEMENT | GLOBAL WEALTH MANAGEMENT GROUP | GARRARD WEALTH MANAGEMENT | FPF GLOBAL ADVISORS | FOUNDATIONAL WEALTH ADVISORY | FORTY4 FINANCIAL | FOOTHILLS CAPITAL MANAGEMENT | FONTE FINANCIAL ADVISORS | FND WEALTH MANAGEMENT | FLOW WEALTH MANAGEMENT | FLEMING INVESTMENT MANAGEMENT | FIVE POINTS ADVISORY | FINANCIAL ANALYSTS | FIDUCIARY PRIVATE WEALTH | FANNO CAPITAL MANAGEMENT | EVERSTRONG ADVISORS | EVERGREEN WEALTH MANAGEMENT | EQUILIBRIUM WEALTH | EQUABLE PORTFOLIO MANAGEMENT | ENHANCE WEALTH | EASTERN CAROLINA WEALTH MANAGEMENT | DUET WEALTH MANAGEMENT | DSP WEALTH STRATEGIES | DREW CAPITAL MANAGEMENT | DKP WEALTH | DEER CREEK CAPITAL | DARWIN | CZ ADVISORY & CONSULTING | CROWN WEALTH MANAGEMENT | CROSSWIND INVESTMENTS | COURTNEY WEALTH ADVISORS | CLEAR PATH FINANCIAL SERVICES | CLARITE WEALTH ADVISORS | CHATHAM STREET ADVISORS | CANTERBURY | CANNON ADVISORS | CAMPBELL HARNESS CAPITAL WEALTH MANAGEMENT | BSSF WEALTH | BRUCE WEALTH GROUP | BRANCHES+ROOTS INVESTMENT MANAGEMENT | BOULEVARD WEALTH PARTNERS | BOOKMARK ADVISORS | BOGAR LK ADVISORY SERVICES | BLUEWATER INVESTMENT STRATEGIES | BLACKWOOD WEALTH MANAGEMENT | BLACK BRIDGE ADVISORS | BELL CAPITAL GROUP | BECKLEY, WHITENER & WETMORE WEALTH ADVISORS | BAYTRUST WEALTH MANAGEMENT | BAYSWATER CAPITAL | BAY REEF CAPITAL | BATTERY PRIVATE | BARRINGTON FINANCIAL ADVISORS | BALANCED WEALTH ADVISORS | ATLAS INVESTMENT ADVISORS | ASSOCIATED CAPITAL ADVISORS | ASN | ASCENTIS FAMILY WEALTH | ARGENTORA WEALTH MANAGEMENT | ARELLANO FINANCIAL PARTNERS | APPLEBY YUDENFREUN WEALTH MANAGEMENT & CONSULTING | APG CAPITAL ASSET MANAGEMENT | APEX CAPITAL WEALTH MANAGEMENT | ANGLIN INVESTMENT PARTNERS | ANCHOR PRIVATE PLANNING | ANALYTICAL CAPITAL | ALPINE PEAKS ADVISORS | ALPEN WEALTH ADVISORY GROUP | ALKEMI CAPITAL | ADVISORY SERVICES NETWORK, LLC | ADVISORY SERVICES NETWORK | ADVANCED INVESTMENT MANAGEMENT | ACUITY WEALTH ADVISORS | ACTUS CAPITAL MANAGEMENT...
CRD#: 146051 / SEC#: 801-71112
RIA
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Contact information
Main Address
900 Ashwood Parkway Suite 500, Atlanta, GA 30338
Mailing Address
Phone number
(770) 352-0449
Established
Firm type
Fiscal year end
# of Employees
215
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,513 |
| AUM (Assets Under Management) | $ 8,619,812,562 |
Red Flags
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Company Information
ADVISORY SERVICES NETWORK
CRD#: 146051Kinderhook, NY 12106TRUST BUT VERIFY
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