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Ronald Rothchild
22 Years of Experience
Melville, NY
5 DisclosuresBrokerSells Insurance
Ronald Rothchild is a registered investment advisor, based in Melville, NY, with 22 years of industry experience.
Location
425 Broadhollow RD. Suite 325, Melville, NY, 10004
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Regulatory History (5)
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Customer Dispute
July 2018Settled
Customer Dispute
March 2018Settled
Customer Dispute
December 2016Settled
Employment Separation After Allegations
April 2016Customer Dispute
April 2016Settled
Other Business ActivitiesSells Insurance
Ronald works as an investment advisor representative for Fincadia and Fincadia Capital Partners LLC, and Fincadia Wealth Management LLC, dedicating a significant amount of time to these roles. He also owns Ron Rothschild Inc. as a pass-through entity and is an independent insurance agent for Fincadia Insurance, spending minimal time on insurance sales.
Employment History
Current Registrations
Arete Wealth Management, LLCBroker
July 2022 - Present · 3 yrs 10 mos
Arete Wealth Advisors, LLC
July 2022 - Present · 3 yrs 10 mos
Previous Registrations
National Asset Management, INC.
September 2017 - July 2022 · 4 yrs 10 mos
National Securities CorporationBroker
August 2017 - July 2022 · 4 yrs 11 mos
Raymond James Financial Services Advisors, INC
June 2014 - April 2016 · 1 yr 10 mos
Raymond James Financial Services, INC.Broker
June 2011 - April 2016 · 4 yrs 10 mos
Wells Fargo Advisors, LLCBroker
March 2005 - June 2011 · 6 yrs 3 mos
David Lerner Associates, INC.Broker
March 2002 - March 2005 · 3 yrs
State Registrations7 states
CAFLMDNJNYORTX
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.