TrueAdvisor
TrueAdvisor
ER
ER

Eric Rothberg

Wells Fargo Advisors
39 Years of Experience
New York, NY
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Eric Rothberg is a registered investment advisor at Wells Fargo Advisors, based in New York, NY, with 39 years of industry experience. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,327,695 clients with $610B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14703 advisors
IM Fee
Planning only
Assets Under Management
$606.0B

Fee Structure

Minimum Investment:$250K
  • Cash Flow Analysis — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Education Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Retirement Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Risk Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Wealth Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Divorce Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Special Needs Analysis — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Sports & Entertainment — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Business Owner Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.

The total fee per engagement can range up to $5,000 for clients with a net worth of $250,000 to $500,000, up to $12,500 for clients with a net worth over $500,000 to $1,000,000, and up to $25,000 for clients with a net worth over $1,000,000. Fees are subject to negotiation and may vary.

One-Time Plan:Up to $25,000
View Full SEC Brochure

Location

1 Penn Plz Fl 27, New York, NY, 10119

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2015
Denied
Customer Dispute
June 2006
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Advisors
July 2021 - Present · 5 yrs
Wells Fargo Clearing Services, LLC
February 2011 - Present · 15 yrs 5 mos
Wells Fargo Clearing Services, LLCBroker
February 2011 - Present · 15 yrs 5 mos
Previous Registrations
Wells Fargo Advisors, LLC
December 2011 - December 2013 · 2 yrs
UBS Financial Services INC.Broker
October 2005 - March 2011 · 5 yrs 5 mos
Wachovia Securities, LLCBroker
October 1999 - October 2005 · 6 yrs
First Union Capital Markets CORP.Broker
July 1999 - October 1999 · 3 mos
Prudential Securities IncorporatedBroker
March 1995 - July 1999 · 4 yrs 4 mos
Smith Barney INC.Broker
July 1993 - March 1995 · 1 yr 8 mos
Lehman Brothers INC.Broker
January 1991 - July 1993 · 2 yrs 6 mos
Chatfield Dean & CO., INC.Broker
November 1990 - January 1991 · 2 mos
The Stuart-James Company, IncorporatedBroker
October 1989 - November 1990 · 1 yr 1 mo
Stratton Oakmont INC.Broker
June 1989 - October 1989 · 4 mos
Stratton Securities, INC.Broker
April 1989 - June 1989 · 2 mos
F.D. Roberts Securities, INC.Broker
May 1988 - October 1989 · 1 yr 5 mos
Amerimutual CorporationBroker
April 1988 - May 1988 · 1 mo
Dunhill, Lord & CompanyBroker
January 1988 - April 1988 · 3 mos
I. A. Rabinowitz & CO.Broker
January 1988 - February 1988 · 1 mo
Gladstone Securities, INC.Broker
November 1987 - November 1987 · 0 mos
Prestige Investors, INC.Broker
October 1987 - November 1987 · 1 mo
Investment Brokers of AmericaBroker
July 1987 - October 1987 · 3 mos
The Stuart-James Company, INC.Broker
December 1986 - June 1987 · 6 mos
State Registrations9 states
CAFLGAILKYMDNJNYPA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
More financial advisors in New York, NY →All financial advisors in New York →