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Herbert Rottenberg

Rbc Capital Markets, LLC

Florham Park, NJ

Springfield, NJ

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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2026-01-15
TX RA APPROVED 2026-01-15
  • NJ RA
    APPROVED
    Since 2026-01-15
  • TX RA
    APPROVED
    Since 2026-01-15

Branch Locations

200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States

Springfield, NJ • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Florham Park NJ 01/2008 01/2026
Rbc Capital Markets, Llc Florham Park NJ 01/2026 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-07
S63 Uniform Securities Agent State Law Examination 1984-06-06
  • S65 Uniform Investment Adviser Law Examination
    1992-04-07
  • S63 Uniform Securities Agent State Law Examination
    1984-06-06
Other Names
  • Hank Rottenberg

View on SEC IAPD

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