Suzette Marie Rothberg

Current Employers

Employment History

• 09/2015 → 04/2017
  Securities America Inc
  Lake Elmo, MN
• 09/2015 → 09/2017
  Prestige Wealth Management
  Lake Elmo, MN
• 09/2017 → Present
  Northwest Asset Management
  Mercer Island, WA
• 09/2015 → Present
  Suzette Rothberg Consulting Llc
  Independence, MN

Previous Registrations

• 2015-09-25 → 2017-09-08
  Prestige Wealth Management
  Lake Elmo, MN
  Woodbury, MN
• 2013-04-25 → 2015-09-09
  Capital Client Group, Inc.
  Los Angeles, CA
• 2004-04-26 → 2006-08-09
  Van Kampen Advisors Inc
  Oakbrook Terrace, IL

Other Businesses

(1) SUZETTE ROTHBERG CONSULTING LLC POSITION: Owner DESCRIPTION: Suzette M. Rothberg is a consultant and professional speaker of practice management concepts designed for investment professionals. Ms. Rothberg is compensated by Invesco to provide speaking as an independent contractor. The content is practice management in nature centered on communication skills. Audiences are primarily financial advisors. INVESTMENT RELATED: Yes NUMBER OF HOURS: Approximately 4 hours per month, all are during securities trading hours. START DATE: 09/10/2015 ADDRESS: Same Address. INTEGRITAS WEALTH STRATEGIES - OWNER - USED FOR TAX & ACCOUNTING PURPOSES ONLY. ESTABLISHED 9/2017 Foundation for Financial Planning: investment-related; Same address; pro-bono financial planning through the Foundation for Financial Planning and affiliated charitable organizations serving people in need, specifically cancer patients. Volunteer; Start date: 02/01/19; ~8 hours per month, ~3 during securities trading hours; basis financial planning through one-on-one counseling and workshops.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-29
• S63 Uniform Securities Agent State Law Examination
  1991-03-08

Designations

Other Names

• Suzette Marie Novak
• Suzette Novak