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SR

Shari P. Rothenberg

MADISON PAIGE SECURITIES LLC
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 6590875
SR

Professional summary

Shari P Rothenberg, who also goes by Shari Rothenberg, is a registered financial professional currently at MADISON PAIGE SECURITIES LLC located in New York, New York and CORSAIR ADVISORS LLC located in New York, New York.

Shari is registered as a RR (Registered Representative) and started their career in finance in 2016. Shari has worked at 22 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shari Rothenberg

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 Shari P Rothenberg's CRS (Customer Relationship Summary).
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

August 16, 2016 - Present

MADISON PAIGE SECURITIES LLC

Office #1: 42 Broadway, Suite 12-129, New York, NY 10004
BD
CRD#: 226538
NEW YORK, NY
Current

January 24, 2017 - Present

CORSAIR ADVISORS LLC

Office #1: 550 Madison Avenue 27th Floor, New York, NY 10022
BD
CRD#: 164469
New York, NY
Current

April 6, 2020 - Present

OHANAE SECURITIES LLC

Office #1: 42 Broadway, Suite 12-129, New York, NY 10004
BD
CRD#: 304656
New York, NY
Current

April 7, 2022 - Present

DORSET PEAK SECURITIES LLC

Office #1: 416 West 13th Street, New York, NY 10014
BD
CRD#: 312209
New York, NY
Current

July 11, 2022 - Present

CAUSEWAY SECURITIES LLC

Office #1: 845 3rd Ave, Floor 6, New York, NY 10022
BD
CRD#: 315829
NEW YORK, NY
Current

August 17, 2022 - Present

RIALTO MARKETS LLC

Office #1: 42 Broadway Suite 12-129, New York, NY 10004
BD
CRD#: 283477
New York, NY
Current

October 13, 2022 - Present

FINANTIA USA INC.

Office #1: 1221 Brickell Avenue 14th Floor Suite 1460, Miami, FL, 33131
BD
CRD#: 39120
Miami, FL
Current

March 30, 2023 - Present

TENEO SECURITIES LLC

Office #1: 280 Park Avenue 4th Floor, New York, NY 10017
BD
CRD#: 151256
New York, NY
Current

April 18, 2023 - Present

MMM SECURITIES LLC

Office #1: 30 Wall Street Suite 825, New York, NY 10005
BD
CRD#: 318021
NEW YORK, NY
Current

July 18, 2023 - Present

CRB SECURITIES, LLC

Office #1: 2115 Linwood Ave 4th Floor, Fort Lee, NJ 07024
BD
CRD#: 283134
Fort Lee, NJ
Current

November 22, 2023 - Present

TRIAD SECURITIES CORP

Office #1: 111 Broadway 11th Floor, New York, NY, 10006
BD
CRD#: 11363
New York, NY
Past

June 6, 2023 - April 15, 2025

IMPROVED CORPORATE FINANCE LLC

BD
CRD#: 323683
NEW YORK, NY
Past

October 20, 2021 - September 8, 2023

ANCORIS SECURITIES LLC

BD
CRD#: 305279
NEW YORK, NY
Past

July 22, 2019 - May 8, 2024

CRESCENDO MARKETS LLC

BD
CRD#: 298072
NEW YORK, NY
Past

February 27, 2019 - August 25, 2023

GB CAPITAL MARKETS LLC

BD
CRD#: 25591
WASHINGTON, DC
Past

August 24, 2018 - September 25, 2019

LS SECURITIES, LLC

BD
CRD#: 296764
PARSIPPANY, NJ
Past

August 10, 2016 - May 21, 2018

LIONTREE ADVISORS LLC

BD
CRD#: 164399
NEW YORK, NY
Past

March 18, 2016 - January 3, 2025

MANOR PARK SECURITIES LLC

BD
CRD#: 169950
LARCHMONT, NY
Past

March 17, 2016 - September 26, 2017

NCG SECURITIES LLC

BD
CRD#: 160481
RED BANK, NJ
Past

March 3, 2016 - July 8, 2016

LIONTREE ADVISORS LLC

BD
CRD#: 164399
NEW YORK, NY
Past

March 3, 2016 - July 8, 2016

EM SECURITIES LLC

BD
CRD#: 148257
NEW YORK, NY
Past

February 26, 2016 - March 13, 2017

ACER INVESTMENT GROUP, LLC

BD
CRD#: 107062
BONITA SPRINGS, FL
Past

January 19, 2016 - November 17, 2016

CORSAIR ADVISORS LLC

BD
CRD#: 164469
NEW YORK, NY
Past

January 1, 2016 - March 10, 2016

CAPELLA SECURITIES LLC

BD
CRD#: 174167
SANTA BARBARA, CA

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
Florida
(10/13/2022)

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/28/2015
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

TS
TRIAD SECURITIES CORP
TRIAD SECURITIES CORP

CRD#: 11363 / SEC#: , 8-20930

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

Main Address
111 Broadway 11th Floor, New York, NY 10006-9401
Mailing Address
111 Broadway 11th Floor, New York, NY 10006-9401
Phone number
(212) 349-8060
Established
New York since 07/13/1976
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (42 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KEVIN M. SCHULTZ 2020 GST EXEMPT TRUSTSHAREHOLDER
ARTICLE 6TH TRUST UW RICHARD SCHULTZ, JUDITH SCHULTZ TTEESHAREHOLDER
CYNTHIA HORNIG 2011 GST EXEMPT TRUST U/D 8/10/2011SHAREHOLDER
KEVIN SCHULTZ 2011 GST EXEMPT TRUST U/D 8/10/2011SHAREHOLDER
FISHER, KENNETH ALANCEO4631540
GOLDSMITH, LAWRENCE HARRYDIRECTOR OF OPERATIONS/PRESIDENT1386783
HOEHLER, TIMOTHY WILLIAMCHIEF COMPLIANCE OFFICER2176769
HORNIG, CYNTHIATRUSTEE-CYNTHIA HORNIG TRUST5989716
LINDEN, ARTHUR AARONSECRETARY/TREASURER1230452
ROTHENBERG, SHARI PFINOP/POO6590875
SCHULTZ, JUDITHTRUSTEE-ARTICLE 6TH TRUST6041541
SCHULTZ, KEVIN MATTHEWTRUSTEE-KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST1779792
SCHULTZ, KEVIN MATTHEWTRUSTEE-KEVIN SCHULTZ TRUST1779792

Disclosures

Regulatory Event2

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

TRIAD SECURITIES CORP

CRD#: 11363New York, NY 10004

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