HR
HR

Howard Martin Rothman

37 Years of Experience
1 DisclosureBroker
Areas of Practice
Investment Management
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
9 advisors
Number of Clients
98 clients
Average Client Portfolio
$1.2M average
Assets Under Management
$117.9M

Fee Structure

Minimum Investment:$100K
Financial Planning:Investment management only
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Location

1010 Washington Blvd, Suite 300, Stamford, CT, 06901

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History

Regulatory History (1)
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Regulatory
May 2011
Final
Other Business Activities

Howard is a member owner of Vision Investment Advisors LLC, President and CFO of Vision Financial Markets, and managing member of Vision Brokerage Services LLC. He also holds positions as member/principal in High Ridge Futures LLC and High Ridge Holding Company LLC, treasurer for Congregation Agudath Sholom, director at Powercore Management LLC, owner of Long Ridge Research Group LLC, president of Bi-Cultural Hebrew Academy, and managing member of 1381 E Putnam Partners LLC.

Employment History
Current Registrations
Vision Financial Markets LLCBroker
January 2008 - Present · 18 yrs 1 mo
Vision Investment Advisors, LLC
July 2006 - Present · 19 yrs 7 mos
Vision Brokerage Services, LLCBroker
March 2000 - Present · 25 yrs 11 mos
Previous Registrations
Fiserv Investor Services, INC.Broker
July 1999 - December 2000 · 1 yr 5 mos
Empire State SecuritiesBroker
May 1998 - December 1998 · 7 mos
Whitehall Securities, INC.Broker
January 1990 - April 1997 · 7 yrs 3 mos
The Investment Center, INC.Broker
September 1989 - December 1989 · 3 mos
Super Fund Securities CORP.Broker
May 1987 - September 1989 · 2 yrs 4 mos
Paine, Webber, Jackson & Curtis INC.Broker
July 1983 - September 1983 · 2 mos
State Registrations52 states
AKALARAZCACOCTDCDEFLGAIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.