Steven A. 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.
Steven Alan Rothstein was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1976. Steven had worked at 13 firms and has passed the Series 63, Series 5, PC, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2009 - January 16, 2014
MILLER TABAK + CO., LLC
January 8, 2008 - December 10, 2008
J.P. TURNER & COMPANY, L.L.C.
May 22, 2007 - October 10, 2007
INTEROCEAN SECURITIES LLC
August 5, 2005 - February 9, 2006
SALOMON GREY FINANCIAL CORPORATION
October 2, 2003 - October 12, 2004
NATIONAL SECURITIES CORPORATION
February 14, 2003 - September 17, 2003
ADVANCED EQUITIES, INC.
February 13, 2002 - October 6, 2003
ALARON FINANCIAL SERVICES
March 24, 1995 - January 24, 2003
NATIONAL SECURITIES CORPORATION
May 11, 1994 - March 24, 1995
MEYERS SECURITIES CORPORATION
January 13, 1993 - March 31, 1994
RODMAN & RENSHAW INC.
August 3, 1989 - December 21, 1992
CIBC WORLD MARKETS CORP.
May 31, 1979 - August 14, 1989
J.P. MORGAN SECURITIES LLC
February 7, 1979 - July 4, 1979
MF GLOBAL INC.
March 1, 1976 - September 21, 1978
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Series 5
Date: 10/21/1981
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamCurrent Firm
MILLER TABAK + CO., LLC
CRD#: 47293 / SEC#: , 8-51750
Contact information
Disclosures
| Regulatory Event | 13 |
Red Flags
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