Saul Rothberger is a registered investment advisor, based in Brooklyn, NY, with 25 years of industry experience.
Location
Brooklyn, NY
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Regulatory History (1)
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Customer Dispute
November 2022Settled
Other Business Activities
Saul is the owner and sole proprietor of Rothberger & Co., a tax preparation and accounting business, since 2003. He spends minimal time on this activity, preparing only one small tax return per year and doing no accounting work currently.
Employment History
Current Registrations
Cetera Investment Advisers LLC
September 2025 - Present · 1 yr
Cetera Wealth Services, LLCBroker
September 2025 - Present · 1 yr
Previous Registrations
Avantax Advisory Services
August 2021 - September 2025 · 4 yrs 1 mo
Avantax Investment Services, INC.Broker
May 2005 - September 2025 · 20 yrs 4 mos
Bishop, Rosen & CO., INC.Broker
February 2003 - June 2003 · 4 mos
Janney Montgomery Scott LLCBroker
January 1999 - January 2003 · 4 yrs
Metlife Securities INC.Broker
September 1997 - April 1998 · 7 mos
Metropolitan Life Insurance CompanyBroker
September 1997 - April 1998 · 7 mos
State Registrations3 states
FLNJNY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.