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Manager, CEO, and Owner · Vision Investment Advisors, LLC

Howard M. Rothman

CRD 1098190 · Named on Form ADV at one SEC-registered adviser

At a glance

Vision Investment Advisors, LLC, an SEC-registered broker-dealer firm based in Stamford, CT with $137 million in regulatory assets, lists Howard M. Rothman on its Form ADV as Manager, CEO, and Owner, a control person.

Firms and roles

AtlasMembers

Howard’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
Locked
Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Search and export owners by title, state and firm size
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

SEC adviser record

Registered since
2006 (20 years)
Designations
None on file
Exams
Series 63, Series 65
Registered in
24 states
Also a broker representative
Yes
Disclosures on record
Yes, see the SEC record

AtlasMembers

Howard’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
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Previous firms, with start and end dates
Locked
Employment history
Locked
States they’re registered in
Locked
Outside business activities
Locked
When they joined their current firm, and their firm’s growth
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Howard’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.