Bruce M. 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.
Bruce Michael Rothman was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1981. Bruce had worked at 20 firms and has passed the Series 63 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
August 25, 2006 - February 23, 2007
PRESTIGE FINANCIAL CENTER, INC.
August 10, 2006 - August 11, 2006
ANDREW GARRETT INC.
January 24, 2006 - May 31, 2006
BISHOP, ROSEN & CO., INC.
April 28, 2004 - December 8, 2004
SPENCER CLARKE LLC
November 1, 2002 - March 11, 2003
GRANTA CAPITAL GROUP LLC
April 25, 2002 - May 31, 2002
SALOMON GREY FINANCIAL CORPORATION
May 12, 2000 - January 30, 2001
FIRST LIBERTY INVESTMENT GROUP, INC.
March 24, 1998 - October 19, 1998
THE THERMOPYLAE GROUP, INC.
July 3, 1996 - March 18, 1998
GILFORD SECURITIES INCORPORATED
June 16, 1995 - June 25, 1996
BRILL SECURITIES, INC.
September 6, 1991 - March 10, 1995
BARRETT DAY SECURITIES, INC.
February 21, 1991 - April 12, 1991
JOSEPHTHAL & CO., INC.
May 30, 1990 - November 2, 1990
RODMAN & RENSHAW INC.
November 13, 1989 - February 22, 1990
LEHMAN BROTHERS INC.
January 3, 1989 - June 20, 1989
D. H. BLAIR & CO., INC.
February 12, 1987 - August 23, 1988
MOORE & SCHLEY, CAMERON & CO.
March 25, 1985 - February 27, 1987
UBS FINANCIAL SERVICES INC.
April 30, 1984 - April 8, 1985
ADVEST, INC.
July 15, 1982 - May 22, 1984
E. F. HUTTON & COMPANY INC
February 23, 1981 - September 4, 1981
JANNEY MONTGOMERY SCOTT 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
Exams
Current Firm
PRESTIGE FINANCIAL CENTER, INC.
CRD#: 30407 / SEC#: , 8-44919
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT PRESTIGE, LLC | OWNER | |
| KIRSHBAUM, LAWRENCE GARY | PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP/CCO | 270856 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
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.
