James Rothschild
Professional Summary
James Rothschild is a registered financial advisor currently at ERG SECURITIES (US) LLC located in New Haven, Connecticut. James is registered as a RR (Registered Representative) and started their career in finance in 2017. James has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
ASPERION GROUP LLC | ERG SECURITIES (US) LLC
Contact Information
Main Address
157 Church Street 19th Floor, New Haven, CT 06510Mailing Address
157 Church Street 19th Floor, New Haven, CT 06510Phone Number
(646) 571-0173Established
Delaware since 04/26/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (16 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(11/23/2022)
(1/16/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Nov 2017About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Rothschild's CRS (Customer Relationship Summary).
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