Branch offices
0 offices
FINRA: Small firm
CRD #13786 · FINRA BrokerCheck + SEC IAPD
Herbert Rothenberg
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Herbert Rothenberg ranks #11,525 of 20,055 by disclosure count (most disclosures first). Herbert Rothenberg has a clean FINRA BrokerCheck record, no reportable disclosures across its 0 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 0
- branch offices
- 0
- disclosures
- #11,525 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 13786 Herbert Rothenberg
Herbert Rothenberg · Grade A · 0 disc · 0.00/office · Single-office firm
- CRD 13786
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #11,525 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)
Herbert Rothenberg ranks #11,525 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
- per office
footprint not reported
Clean disclosure surface
Herbert Rothenberg has zero reportable FINRA BrokerCheck disclosures in this extract across 0 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 13786
Clean BrokerCheck surface
Herbert Rothenberg's clean BrokerCheck surface
Herbert Rothenberg shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 0 branch offices (Grade A).
Herbert Rothenberg shows zero reportable disclosures across 0 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Herbert Rothenberg's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Herbert Rothenberg sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Herbert Rothenberg ranks #11,525 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of A mean for Herbert Rothenberg?
A grade of A means Herbert Rothenberg has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Herbert Rothenberg have?
Herbert Rothenberg has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Herbert Rothenberg?
Herbert Rothenberg operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Herbert Rothenberg's disciplinary record?
You can verify Herbert Rothenberg's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 13786. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. Herbert Rothenberg currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Herbert Rothenberg's 0.00
- 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Herbert Rothenberg's 0.00
- 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to Herbert Rothenberg's 0.00
- How to Vet a Financial Advisor - Use Herbert Rothenberg's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Herbert Rothenberg's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Herbert Rothenberg.
- Compare firms - put Herbert Rothenberg next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.