Suzette Rothberg, financial advisor Lake Elmo MN
96 score

Suzette Rothberg

CRD Number: 1994459
Current Firm: Prestige Wealth Management

Suzette Rothberg (CRD# 1994459) is an Investment Advisor Representative working at Prestige Wealth Management in Lake Elmo, MN and has over 26 years of experience in the finance industry. Suzette Rothberg has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Prestige Wealth Management Lake Elmo, MN Sep 2015 - Current 2
Securities America Inc. Lake Elmo, MN Sep 2015 - Current 2
American Funds Distributors, Inc. Los Angeles, CA Aug 2006 - Sep 2015 9
Van Kampen Funds Inc. Oakbrook Terrace, IL Feb 1997 - Aug 2006 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1991
S65 NASAA Investment Advisors Law Examination Dec 1999
Contact Info for Suzette M. Rothberg
Phone Number: 651-209-9333
Registered State(s):
  • MN
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Other
Types of Clients
Registered States


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Clean Record
This advisor has a clean track record with regulators.

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