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Registered advisor
R••••• J•• S•••••
Feed of 09/14/2026
Also filed as Rhonda Joy Rothenberg
At current firm
10 y
since Sep 6, 2016
In the industry
33 y
since Jun 22, 1993 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 6, 2016 · Greenwich, Ct
- D••••••• B••• S••••••••• I••• no RAUMMay 6, 2004 to Sep 6, 2016 · Greenwich, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 3, 2003 to May 17, 2004 · Greenwich, Ct
Moves
a registration end followed by a registration begin elsewhere
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to D••••••• B••• S••••••••• I•••left May 17, 2004, registered May 6, 2004 (-11 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address