Seth R. Rothman

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• 2017-03-24 → 2024-06-14
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Melville, NY
  New York, NY
  New York, NY
  New York, NY
  Iselin, NJ
  Iselin, NJ
  New York, NY
  New York, NY
  Smithtown, NY

Exams

• 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