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Jonathan Rothman
12 Years of Experience
Warren, NJ
1 DisclosureBroker
Jonathan Rothman is a registered investment advisor at UBS Financial Services INC., based in Warren, NJ, with 12 years of industry experience. Jonathan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
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Location
184 Liberty Corner Road, Suite 101, Warren, NJ, 07059
Get directionsHistory
Regulatory History (1)
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
September 2019Denied
Employment History
Current Registrations
UBS Financial Services INC.
September 2022 - Present · 4 yrs 1 mo
UBS Financial Services INC.Broker
September 2022 - Present · 4 yrs 1 mo
Previous Registrations
Morgan Stanley
July 2016 - October 2022 · 6 yrs 3 mos
Morgan StanleyBroker
July 2016 - October 2022 · 6 yrs 3 mos
Rose & CO. Capital Advisors, LLCBroker
May 2014 - June 2016 · 2 yrs 1 mo
State Registrations31 states
AZCACOCTDCDEFLGAILINLAMAMDMEMIMTNCNDNHNJNMNVNYOHORPASCTXVAVTWA
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.
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