Neil L. Rothstein
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.
Neil Leslie Rothstein was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1981. Neil had worked at 9 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
February 23, 1989 - June 20, 1989
J. T. MORAN & CO., INC.
February 23, 1987 - March 2, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
August 6, 1986 - February 27, 1987
CIBC WORLD MARKETS CORP.
March 29, 1985 - August 12, 1986
LEHMAN BROTHERS INC.
November 6, 1984 - April 3, 1985
F.D. ROBERTS SECURITIES, INC.
October 26, 1984 - October 25, 1985
FIRST BOCA SECURITIES, INC.
April 11, 1984 - October 10, 1984
CITIWIDE SECURITIES CORP.
October 21, 1982 - November 19, 1983
MARSAN SECURITIES CO., INC.
October 3, 1981 - October 28, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 20, 1981 - September 12, 1981
MARSAN SECURITIES CO., INC.
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
J. T. MORAN & CO., INC.
CRD#: 15655 / SEC#: , 8-37337
Contact information
Documents
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.
