Bruce Jay Rothbard

Current Employers

Employment History

• 08/2010 → Present
  Mercury Financial Group
  Dallas, TX
• 01/2013 → Present
  The Leaders Group Inc
  Littleton, CO
• 07/2020 → Present
  Lion Street Financial
  Austin, TX
• 11/2025 → Present
  Integrity Alliance, Llc.
  Urbandale, IA
• 11/2025 → Present
  Integrity Alliance, Llc.
  Urbandale, IA

Previous Registrations

• 2020-08-17 → 2025-11-03
  Lion Street Advisors, Llc
  Springfield, NJ
  Austin, TX
• 2009-06-01 → 2010-07-12
  Morgan Stanley
  Purchase, NY
• 2007-03-20 → 2009-06-01
  Citigroup Global Markets Inc.
  Florham Park, NJ
  New York, NY
• 2003-07-01 → 2007-01-17
  Wells Fargo Clearing Services, Llc
  Florham Park, NJ
  Short Hills, NJ
• 2002-07-01 → 2003-07-01
  Prudential Equity Group, Llc
  Florham Park, NJ

Other Businesses

1) LIFEROC CAPITAL POSITION: Consultant NATURE: It is a life settlement company INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/18/2022 ADDRESS: 11620 Wilshire Blvd 9th floor, Los Angeles CA 90025, United States DESCRIPTION: Facilitate life settlements for clients who are looking to sell their life insurance policies 2) INDEPENDENT INSURANCE AGENT POSITION: Owner NATURE: Life Insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 100 START DATE: 09/01/1988 ADDRESS: 5 Archbridge Lane, Springfield NJ 07081, United States DESCRIPTION: Sales of life insurance products 3) MERCURY FINANCIAL GROUP POSITION: Employee NATURE: Sales of life insurance products INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2010 ADDRESS: 5 Archbridge Lane, 5 ARCHBRIDGE LN, Springfield NJ 07081, United States DESCRIPTION: Sales of life insurance products

Exams

• S63 Uniform Securities Agent State Law Examination
  1993-10-07

Designations