Aaron Rottenstein, financial advisor Tucson AZ
90 score

Aaron Rottenstein

CRD Number: 5910228
Current Firm: Ubs Financial Services Inc.

Aaron Rottenstein (CRD# 5910228) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Tucson, AZ and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Tucson, AZ Mar 2011 - Current 5
Us House Of Representatives Washington, CT Nov 2009 - Jan 2011 1
Us Senate Washington, DC May 2009 - Nov 2009 < 1
Us Senate Washington, DC Nov 2008 - May 2009 < 1
Us Senate Washington, DC Jan 2008 - Nov 2008 < 1
Us Congress Washington, DC May 2007 - Jan 2008 < 1
University Of Arizona Tucson, AZ Aug 2003 - May 2007 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jun 2011
Contact Info for Aaron D. Rottenstein
Phone Number: 201-352-3000
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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