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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2016-09-06
  • CT RA
    APPROVED
    Since 2016-09-06

Branch Locations

Three Pickwick Plaza 4Th Floor, Greenwich, CT 06830 • United States

New Canaan, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Deutsche Bank Securities Inc. Greenwich CT 05/2004 09/2016
Raymond James & Associates, Inc. Greenwich CT 09/2016 Present
Previous Registrations
Other Businesses

(1)Name of Business: Renaissance Partners, LLC Address: 42 Whitney Ave, New Canaan, CT, 06840, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 03/17/2005 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: 5% owner of Family Business, General Contractor, run by my husband

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-11-04
S63 Uniform Securities Agent State Law Examination 1993-06-22
  • S65 Uniform Investment Adviser Law Examination
    1994-11-04
  • S63 Uniform Securities Agent State Law Examination
    1993-06-22
Other Names
  • Rhonda Joy Rothenberg
  • Rhonda Joy Rothenberg

View on SEC IAPD

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