Joan Rothenberg, financial advisor Santa Barbara CA

Joan Rothenberg

CRD Number: 1290202
Current Firm: The Ameriflex Group

Joan Rothenberg (CRD# 1290202) is an Investment Advisor Representative working at The Ameriflex Group in Santa Barbara, CA and has over 26 years of experience in the finance industry. Joan Rothenberg 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
Osaic Wealth, Inc. Santa Barbara, CA Sep 2023 - Current < 1
The Ameriflex Group, Inc. Santa Barbara, CA Oct 2022 - Current 1
Jpr Financial Services Santa Barbara, CA Sep 1997 - Current 26
Joan Rothenberg Santa Barbara, Ca 93101, CA Jan 1985 - Current 39
Sagepoint Financial, Inc. Santa Barbara, CA Oct 2022 - Sep 2023 < 1
Royal Alliance Associates, Inc. Santa Barbara, CA Nov 1989 - Oct 2022 32
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1998
Contact Info for Joan P. Rothenberg
Phone Number: (702) 987-9730
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    3,423
    MILLIONS
  • Total Number of Accounts
    6,588
    ACCOUNTS
  • Average Account Value
    $519,583
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN, KS, LA, MA, MD, MI, MN, MO, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, WA, WI, WY

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