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Seth R. Rothman

J.P. Morgan Securities LLC

Kings Park, NY

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-10-23
TX RA APPROVED 2024-10-23
  • NY RA
    APPROVED
    Since 2024-10-23
  • TX RA
    APPROVED
    Since 2024-10-23

Branch Locations

38 Indian Head Road, Kings Park, NY 11754 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Melville NY 12/2016 06/2024
Sorfin Yoshimura Ltd Woodbury NY 04/2016 10/2016
Bank Of America, Na Melville NY 12/2016 06/2024
David Lerner Associates New York NY 10/2016 12/2016
J.P. Morgan Securities Llc Kings Park NY 10/2024 Present
Jpmorgan Chase Bank, N.A. Kings Park NY 10/2024 Present
David Lerner Associates, Inc. New York NY 09/2016 12/2016
Unemployed Dix Hills NY 07/2024 10/2024
  • 12/2016 → 06/2024
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Melville, NY
  • 04/2016 → 10/2016
    Sorfin Yoshimura Ltd
    Woodbury, NY
  • 12/2016 → 06/2024
    Bank Of America, Na
    Melville, NY
  • 10/2016 → 12/2016
    David Lerner Associates
    New York, NY
  • 10/2024 → Present
    J.P. Morgan Securities Llc
    Kings Park, NY
  • 10/2024 → Present
    Jpmorgan Chase Bank, N.A.
    Kings Park, NY
  • 09/2016 → 12/2016
    David Lerner Associates, Inc.
    New York, NY
  • 07/2024 → 10/2024
    Unemployed
    Dix Hills, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-03-22
S63 Uniform Securities Agent State Law Examination 2009-03-21
  • S66 Uniform Combined State Law Examination
    2017-03-22
  • S63 Uniform Securities Agent State Law Examination
    2009-03-21
Other Names
  • Sr Rothman
  • Seth R Rothman
  • Seth Rothman
  • Seth Robert Rothman

View on SEC IAPD

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Other Offices

KESTRA ADVISORY SERVICES, LLC · KINGS PARK, NY
EDWARD JONES · KINGS PARK, NY
ITHAKA STRATEGIC PARTNERS · KINGS PARK, NY
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · KINGS PARK, NY
THE PINNACLE FINANCIAL GROUP · EAST NORTHPORT, NY
ARCADIA WEALTH MANAGEMENT · SMITHTOWN, NY
ALAN M. ROSEMAN CPA LLC · COMMACK, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · Commack, NY

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