Howard Rothman, financial advisor Stamford CT
73 score

Howard Rothman

CRD Number: 1098190
Current Firm: Vision Investment Advisors, LLC

Howard Rothman (CRD# 1098190) is an Investment Advisor Representative working at Vision Investment Advisors, LLC in Stamford, CT and has over 29 years of experience in the finance industry.

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Company Name Location Dates Years
High Ridge Futures Llc And High Ridge Holding Company LLC Stamford, CT Oct 2014 - Current 2
Vision Investment Advisors, LLC New York, NY Sep 2000 - Current 16
Vision Brokerage Services, Inc. New York, NY Jul 1999 - Current 17
Vision Financial Markets Stamford, CT Feb 1988 - Current 28
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1987
S65 NASAA Investment Advisors Law Examination Jan 2007
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Howard M. Rothman
Phone Number: 203-388-2700
Registered State(s):
  • CA
  • CO
  • FL
  • IL
  • MI
  • NE
  • NJ
  • ND
  • TN
  • TX
  • CT
By the Numbers
  • Total Assets Under Management
    61
    MILLIONS
  • Total Number of Accounts
    111
    ACCOUNTS
  • Average Account Value
    $551,212
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Performance-based fees
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AZ, CA, CO, CT, DE, FL, IL, LA, MA, MD, MI, ND, NE, NH, NJ, NV, NY, OR, SD, TN, TX

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BADGES
73

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