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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Michael Aaron Rothstein

Advisor at VANGUARD ADVISERS, INC.

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:ad5304a5-9cf3-ef98-d60d-c6ef2ab866de

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 8, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VANGUARD ADVISERS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 13, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66|S65
First exam: Feb 13, 2006
First registration: Jul 8, 2013
Dual registered: yes, broker-dealer
Other names: Michael Rothstein|Michael A Rothstein|Michael A Rothstein|Michael Aaron Rothstein
IAPD individual key: 5029834

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Apr 13, 2026	n/a	yes	CHARLOTTE, NC	Current employment
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Mar 12, 2021	Mar 24, 2026	no	CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration
PRIMERICA ADVISORS	National bd RIA	Nov 27, 2020	Mar 10, 2021	no	PARAMUS, NJ	Previous registration
CHOREO, LLC	Independent wealth	Jul 19, 2019	Nov 4, 2019	no	CHARLOTTE, NC\|ROCKFORD, IL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jul 8, 2013	Sep 15, 2016	no	STEWART MANOR, NY\|GARDEN CITY PARK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TRUIST ADVISORY SERVICES, INC.	VANGUARD ADVISERS, INC.	Mar 24, 2026	Apr 13, 2026	20	Firm change	Ibd to ibd
PRIMERICA ADVISORS	TRUIST ADVISORY SERVICES, INC.	Mar 10, 2021	Mar 12, 2021	2	Firm change	Ibd to ibd
CHOREO, LLC	PRIMERICA ADVISORS	Nov 4, 2019	Nov 27, 2020	389	Firm change	RIA to ibd
J.P. MORGAN SECURITIES LLC	CHOREO, LLC	Sep 15, 2016	Jul 19, 2019	1,037	Firm change after gap	Wirehouse to RIA

Relationships

Registered with (5)

→ VANGUARD ADVISERS, INC.Registered adviserregistration: current employment
Apr 13, 2026 to presentfactForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Mar 12, 2021 to Mar 24, 2026factForm ADV
→ PRIMERICA ADVISORSRegistered adviserregistration: previous registration
Nov 27, 2020 to Mar 10, 2021factForm ADV
→ CHOREO, LLCRegistered adviserregistration: previous registration
Jul 19, 2019 to Nov 4, 2019factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jul 8, 2013 to Sep 15, 2016factForm ADV

Dated events

Occurred
Mar 24, 2026
Advisor changed firm
Michael Aaron Rothstein left Truist Advisory Services, Inc. for Vanguard Advisers, Inc. (registered 2026-04-13)
Form ADVobserved 5 days ago