Michael Rothman is a registered investment advisor, based in King of Prussia, PA, with 20 years of industry experience.
Location
150 S Warner Rd, Fl 2 - Premier, King of Prussia, PA, 19406
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Truist Advisory Services, INC.
July 2021 - Present · 5 yrs
Truist Investment Services, INC.Broker
July 2021 - Present · 5 yrs
Previous Registrations
Citizens Investment Services
October 2014 - August 2021 · 6 yrs 10 mos
Citizens Securities, INC.Broker
February 2010 - August 2021 · 11 yrs 6 mos
Brown Brothers Harriman & CO.Broker
January 2007 - December 2008 · 1 yr 11 mos
Sei Investments Distribution CO.Broker
October 2002 - June 2005 · 2 yrs 8 mos
State Registrations1 state
PA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.