Shari P. Rothenberg
Professional summary
Shari P Rothenberg, who also goes by Shari Rothenberg, is a registered financial professional currently at MADISON PAIGE SECURITIES LLC located in White Plains, 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shari P Rothenberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 16, 2016 - Present
MADISON PAIGE SECURITIES LLC
Office #1: 50 Main Street, Suite 1000, White Plains, NY 10606January 24, 2017 - Present
CORSAIR ADVISORS LLC
Office #1: 550 Madison Avenue 27th Floor, New York, NY 10022April 6, 2020 - Present
OHANAE SECURITIES LLC
Office #1: 1460 Broadway, New York, NY 10036April 7, 2022 - Present
DORSET PEAK SECURITIES LLC
Office #1: 105 Raider Blvd, Suite 205, Hillsborough, NJ 08844July 11, 2022 - Present
CAUSEWAY SECURITIES LLC
Office #1: 405 Lexington Avenue, Room 2613, New York, NY 10174August 17, 2022 - Present
RIALTO MARKETS LLC
October 13, 2022 - Present
FINANTIA USA INC.
Office #1: 1221 Brickell Avenue 14th Floor Suite 1460, Miami, FL, 33131March 30, 2023 - Present
TENEO SECURITIES LLC
Office #1: 280 Park Avenue 4th Floor, New York, NY 10017July 18, 2023 - Present
CRB SECURITIES, LLC
Office #1: 2115 Linwood Ave 4th Floor, Fort Lee, NJ 07024November 22, 2023 - Present
TRIAD SECURITIES CORP
Office #1: 111 Broadway 11th Floor, New York, NY, 10006June 6, 2023 - April 15, 2025
IMPROVED CORPORATE FINANCE LLC
April 18, 2023 - March 31, 2026
MMM SECURITIES LLC
October 20, 2021 - September 8, 2023
ANCORIS SECURITIES LLC
July 22, 2019 - May 8, 2024
CRESCENDO MARKETS LLC
February 27, 2019 - August 25, 2023
GB CAPITAL MARKETS LLC
August 24, 2018 - September 25, 2019
LS SECURITIES, LLC
August 10, 2016 - May 21, 2018
LIONTREE ADVISORS LLC
March 18, 2016 - January 3, 2025
MANOR PARK SECURITIES LLC
March 17, 2016 - September 26, 2017
NCG SECURITIES LLC
March 3, 2016 - July 8, 2016
LIONTREE ADVISORS LLC
March 3, 2016 - July 8, 2016
EM SECURITIES LLC
February 26, 2016 - March 13, 2017
ACER INVESTMENT GROUP, LLC
January 19, 2016 - November 17, 2016
CORSAIR ADVISORS LLC
January 1, 2016 - March 10, 2016
CAPELLA SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/13/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
TRIAD SECURITIES CORP
CRD#: 11363 / SEC#: , 8-20930
Contact information
FINRA licenses (42 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | SHAREHOLDER | |
| ARTICLE 6TH TRUST UW RICHARD SCHULTZ, JUDITH SCHULTZ TTEE | SHAREHOLDER | |
| CYNTHIA HORNIG 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| KEVIN SCHULTZ 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| FISHER, KENNETH ALAN | CEO | 4631540 |
| GOLDSMITH, LAWRENCE HARRY | DIRECTOR OF OPERATIONS/PRESIDENT | 1386783 |
| HOEHLER, TIMOTHY WILLIAM | CHIEF COMPLIANCE OFFICER | 2176769 |
| HORNIG, CYNTHIA | TRUSTEE-CYNTHIA HORNIG TRUST | 5989716 |
| LINDEN, ARTHUR AARON | SECRETARY/TREASURER | 1230452 |
| ROTHENBERG, SHARI P | FINOP/POO | 6590875 |
| SCHULTZ, JUDITH | TRUSTEE-ARTICLE 6TH TRUST | 6041541 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | 1779792 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN SCHULTZ TRUST | 1779792 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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