Robert A Rothman

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

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

Current Employers

Employment History

• 02/2009 → 11/2017
  Ubs Financial Services Inc
  New York, NY
• 11/2017 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 12/2017 → Present
  Bank Of America, N.A.
  New York, NY

Previous Registrations

• 1993-12-05 → 2009-03-19
  Alliancebernstein L.P.
  New York, NY

Other Businesses

LARCHMONT TRAFFIC COMMISSSION-LARCHMONT, NY 10538-OVERSEE TRAFFIC REQUESTS FROM RESIDENTS (SUCH AS STOP SIGNS)-5 HRS. PER MONTH-DIRECTOR. I*3496284, Entity Type: Fiduciary role Name of OBA: S R Trust dated 3/13/1997, Address: New Rochelle, New York, 10805, Investment Related: N, Position, Title, Association: Successor Trustee, Employee Start Date: 01/09/2026, No Hours: 4 Monthly, No Hours during Trading: 0 Duties: Successor Trustee/Self I*5007272 Entity Type: Fiduciary role Name of OBA: S. R. ESTATE R. R. ADMIN Address: Highland Beach, Florida, 33487 Investment Related: No Position, Title, Association: Administrator Employee Start Date: 07/20/2026 Number of Hours: 1, Yearly Number of Hours during trading: 1, Yearly Duties: Administrator/Child/Grandchild

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-04-21
• S63 Uniform Securities Agent State Law Examination
  1986-07-16

Other Names

• Robert A Rothman
• Robert Rothman