Howard Rothstein
Howard Rothstein is a registered investment advisor at Osaic Wealth, INC., based in Pt St Lucie, FL, with 25 years of industry experience. Howard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
Pt St Lucie, FL
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Regulatory History (1)
Customer Dispute
May 2016Other Business ActivitiesSells Insurance
Howard sells life and health insurance products through Crump and is an investment advisory representative with American Portfolios Advisors, Inc. He also works part-time for Uber Eats, dedicating about 10-20% of his time.
Employment History
Current Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
American Portfolios Advisors, INC
American Portfolios Financial Services, INC.Broker
Southeast Investments, N.c., INC.
Southeast Investments, N.c., INC.Broker
David Lerner Associates, INC.Broker
Investprivate.com, INC.Broker
Alliance Fund Distributors, INC.Broker
David Lerner Associates, INC.Broker
Chemical Investment Services CORP.Broker
Citicorp Investment ServicesBroker
Gna Securities, INC.Broker
Marketing One Securities, INC.Broker
The Dreyfus Service CorporationBroker
L. F. Rothschild & CO. IncorporatedBroker
Laidlaw Adams & Peck INC.Broker
Rooney, Pace INC.Broker
State Registrations6 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.