Donald P. Rothman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donald Patrick Rothman was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1980. Donald had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2022 - January 19, 2024
SYMETRA SECURITIES, INC.
August 8, 2014 - April 17, 2020
CETERA INVESTMENT ADVISERS LLC
August 4, 2014 - April 17, 2020
CETERA INVESTMENT SERVICES LLC
March 11, 2014 - August 5, 2014
SANTANDER SECURITIES LLC
June 17, 2013 - August 5, 2014
SANTANDER SECURITIES LLC
April 6, 2011 - November 14, 2011
PAULSON INVESTMENT COMPANY LLC
June 2, 2010 - April 15, 2011
GARDEN STATE SECURITIES, INC.
September 26, 2002 - May 28, 2010
PAULSON INVESTMENT COMPANY LLC
December 19, 2001 - September 27, 2002
SCHNEIDER SECURITIES, INC.
July 5, 1995 - December 21, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
February 7, 1994 - November 3, 1998
H.J. MEYERS & CO., INC.
April 19, 1993 - February 4, 1994
OPPENHEIMER & CO. INC.
December 6, 1991 - May 4, 1993
H.J. MEYERS & CO., INC.
June 26, 1990 - December 12, 1991
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
June 19, 1990 - December 12, 1991
FIRST INSTITUTIONAL SECURITIES, L.L.C.
December 11, 1989 - July 27, 1990
CMT FINANCIAL GROUP
June 26, 1980 - March 18, 1988
MOSELEY SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 9/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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