ROTHSTEIN INVESTMENT ADVISORY SERVICES INC
CRD #108073 SEC #801-55660 FAIRFAX, VA 703-352-8778
SEC Registered
Total AUM
$29.6M
Discretionary
$29.4M
Employees
5
Clients
--
Accounts
263
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 22, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ROTHSTEIN, JACK, SOLOMON | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | E | Control |
| ROTHSTEIN, JACK, SOLOMON | I | CHIEF COMPLIANCE OFFICER/CHAIRMAN | E | |
| ROTHSTEIN, JACK, SOLOMON | I | CHIEF COMPLIANCE OFFICER/CHAIRMAN | E | |
| ROTHSTEIN, JACK, SOLOMON | I | CHAIRMAN/CHIEF COMPLIANCE OFFICER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ROTHSTEIN, JACK, SOLOMAN | FE | ROTHSTEIN INVESTMENT ADVISORY | E | |
| ROTHSTEIN, JACK, SOLOMAN | FE | ROTHSTEIN INVESTMENT ADVISORY | E |
Registrations
Federal
IA
Nov 22, 2005 REGISTERED
Notice Filings (2)
MD VA
Address
3600 CHAIN BRIDGE RDSUITE 200
FAIRFAX, VA 22030
USA
Phone: 703-352-8778