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JR

Joshua M. Rothstein

AGM SECURITIES LLC
Beverly Hills, CA 90210
Some features on this profile are disabled
CRD#: 6664241
JR

Professional summary

Joshua M Rothstein, who also goes by Josh Rothstein, is a registered financial professional currently at AGM SECURITIES LLC located in Beverly Hills, California.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 2016. Joshua has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Josh 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 Joshua M 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

February 1, 2022 - Present

AGM SECURITIES LLC

Office #1: 9336 Civic Center Drive, Beverly Hills, CA 90210
BD
CRD#: 132197
Beverly Hills, CA
Past

August 9, 2016 - January 28, 2022

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
LOS ANGELES, 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
California
(2/1/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/22/2016
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 79
Date: 8/8/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
AGM SECURITIES LLC
AGM SECURITIES LLC

CRD#: 132197 / SEC#: , 8-66568

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

Main Address
7000 W Palmetto Park Rd Suite 503, Boca Raton, FL 33433
Mailing Address
7000 W Palmetto Park Rd Suite 503, Boca Raton, FL 33433
Phone number
(212) 796-1531
Established
Delaware since 05/26/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
AGM GROUP HOLDINGS LLCSOLE MEMBER
SPINDEL, HOWARDCFO/FINOP708042
VERDONE, JAMES JOSEPHCEO/CCO2581251

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

AGM SECURITIES LLC

CRD#: 132197Beverly Hills, CA 90210

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