Jonathan David Rothman

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2022-10-20
NJ	RA	APPROVED	2022-10-03
TX	RA	APPROVED_RES	2022-09-29

CT RA
APPROVED

Since 2022-10-20
NJ RA
APPROVED

Since 2022-10-03
TX RA
APPROVED_RES

Since 2022-09-29

Branch Locations

184 Liberty Corner Road Suite 101, Warren, NJ 07059 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley	Warren	NJ	06/2016	09/2022
Morgan Stanley Private Bank, N.A.	New York	NY	06/2016	09/2022
Ubs Financial Services Inc	Warren	NJ	09/2022	Present
Morgan Stanley Private Bank, N.A	New York	NY	06/2016	Present

06/2016 → 09/2022

Morgan Stanley

Warren, NJ
06/2016 → 09/2022

Morgan Stanley Private Bank, N.A.

New York, NY
09/2022 → Present

Ubs Financial Services Inc

Warren, NJ
06/2016 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2016-07-13 → 2022-10-19

Morgan Stanley

Warren, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-07-13

S66 Uniform Combined State Law Examination

2016-07-13

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews