Rebecca Rothstein
Rebecca Rothstein is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Beverly Hills, CA, with 39 years of industry experience. Rebecca is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 1,838,984 clients with $1800B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Managed Account Advisors and Merrill Lynch charge an asset-based fee called the Account Fee, which consists of two parts:
- Investment Management and Trust Fee — Paid to Bank of America for its services, with rates set in your client agreement and subject to negotiation based on your portfolio value and account size.
- Style Manager Expense — Paid to the specific manager of your chosen strategy, generally ranging from 0.00% to 0.50% per year, and does not change based on portfolio size.
Total fees vary depending on the specific strategies and account size, and are deducted directly from your account on a regular basis.
Location
9595 Wilshire Blvd, Pbig - Beverly Hills, Beverly Hills, CA, 90212
Get directionsHistory
Regulatory History (4)
Customer Dispute
June 2003Customer Dispute
July 2002Customer Dispute
January 2002Customer Dispute
April 2000Other Business Activities
Rebecca is involved in several outside business activities, including JEDS 44 LLC (estate planning), Teen Cancer America (Advisory Board Member), UCLA Medical Center Board of Advisors, JEDS2 LLC (purchasing home to rent), JEDSNEV1 LLC (rental property), and UCLA Early Childhood Partial Hosp Prog (ECPHP). These activities require minimal time commitment, ranging from a few hours per year to a few hours per week.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Bt Alex. Brown IncorporatedBroker
Alex. Brown & Sons IncorporatedBroker
Bear, Stearns & CO. INC.Broker
Toluca Pacific Securities CORP.Broker
Baraban Securities, INC.Broker
State Registrations51 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.
Exams
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