Details

HOWARD MARTIN ROTHMAN NFA ID: 0178238 Current Status VISION FINANCIAL MARKETS LLC  • ASSOCIATED PERSON REGISTERED  • NFA ASSOCIATE MEMBER APPROVED  • PRINCIPAL APPROVED  VISION INVESTMENT ADVISORS LLC  • ASSOCIATED PERSON REGISTERED  • PRINCIPAL APPROVED  Regulatory Actions  Agency Number NFA 1 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 4 details... Formerly Known As No other names   Security Futures Proficiency Training No proficiency information available Doing Business As No other names History  Status Effective Date FIRST NATIONAL TRADING CORPORATION  • ASSOCIATED PERSON WITHDRAWN 05/30/1984  ROTHMAN BARRY & ASSOCIATES  • PRINCIPAL WITHDRAWN 10/17/1983  VISION BROKERAGE SERVICES LLC  • ASSOCIATED PERSON WITHDRAWN 04/01/2011  • NFA ASSOCIATE MEMBER WITHDRAWN 04/01/2011  • PRINCIPAL WITHDRAWN 04/01/2011  • NFA ASSOCIATE MEMBER APPROVED 03/27/2009  • ASSOCIATED PERSON REGISTERED 03/27/2009  • PRINCIPAL APPROVED 03/27/2009  • NFA ASSOCIATE MEMBER PENDING 03/27/2009  • ASSOCIATED PERSON PENDING 03/27/2009  • PRINCIPAL WITHDRAWN 05/16/2004  • NFA ASSOCIATE MEMBER WITHDRAWN 05/16/2004  • ASSOCIATED PERSON WITHDRAWN 05/16/2004  • PRINCIPAL APPROVED 03/13/2003  • NFA ASSOCIATE MEMBER APPROVED 03/13/2003  • ASSOCIATED PERSON REGISTERED 03/13/2003  • PRINCIPAL PENDING 03/03/2003  • ASSOCIATED PERSON PENDING 03/03/2003  • NFA ASSOCIATE MEMBER PENDING 03/03/2003  VISION FINANCIAL MARKETS LLC  • PRINCIPAL ENDED WITH VISION CAPITAL MANAGEMENT INC 10/23/2001  • PRINCIPAL COMPLETE WITH VISION CAPITAL MANAGEMENT INC 10/02/1992  • ASSOCIATED PERSON REGISTERED 02/01/1988  • NFA ASSOCIATE MEMBER APPROVED 02/01/1988  • PRINCIPAL APPROVED 02/01/1988  • PRINCIPAL PENDING 01/29/1988  VISION INVESTMENT ADVISORS LLC  • ASSOCIATED PERSON REGISTERED 04/10/2002  • PRINCIPAL APPROVED 04/10/2002  • ASSOCIATED PERSON PENDING 03/18/2002  • PRINCIPAL PENDING 03/18/2002  VISION TRADING RESOURCES INC  • ASSOCIATED PERSON WITHDRAWN 06/16/1999  • NFA ASSOCIATE MEMBER WITHDRAWN 06/16/1999  • PRINCIPAL WITHDRAWN 06/16/1999  • ASSOCIATED PERSON REGISTERED 04/24/1995  • NFA ASSOCIATE MEMBER APPROVED 04/24/1995  • PRINCIPAL APPROVED 04/24/1995  • ASSOCIATED PERSON PENDING 04/04/1995  • NFA ASSOCIATE MEMBER PENDING 04/04/1995  • PRINCIPAL PENDING 04/04/1995  WHITEHALL INVESTMENT MANAGEMENT INC  • ASSOCIATED PERSON WITHDRAWN 03/31/2011  • NFA ASSOCIATE MEMBER WITHDRAWN 03/31/2011  • PRINCIPAL WITHDRAWN 03/31/2011  • ASSOCIATED PERSON REGISTERED 07/15/1998  • NFA ASSOCIATE MEMBER APPROVED 07/15/1998  • ASSOCIATED PERSON WITHDRAWN 05/16/1990  • NFA ASSOCIATE MEMBER WITHDRAWN 05/16/1990  • PRINCIPAL APPROVED 11/16/1988  • NFA ASSOCIATE MEMBER APPROVED 08/01/1985  • ASSOCIATED PERSON REGISTERED 07/15/1985  • ASSOCIATED PERSON TEMPORARY LICENSE 02/15/1985