AdvisorOS Directory
Claim Profile
Unclaimed Profile
AR

Alan Miles Rothstein

ASSET STRATEGIES, INC.·AVON, Connecticut
Clean record24 years registeredASSET STRATEGIES, INC.
80 WEST AVON RD., AVON, CT 06001CRD# 4370823Firm CRD# 119661

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Alan Miles Rothstein · AVON, CT
Registration
CRD #4370823 · ASSET STRATEGIES, INC. · 24 years registered
Brand Profile
Not yet started
01

Career History

ADVISORY SERVICES NETWORK
Apr 2024 – present
ASSET STRATEGIES, INC.
Apr 2002 – Jul 2024
AVON, CT
02

Registrations & Exams

Registration record
First registered · April 1, 2002
Years registered · 24
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
ASSET STRATEGIES, INC.
CRD 119661 · SEC 801-61023
AUM
$140M
Regulatory assets under management
Employees
10
606 client accounts
Services offered by ASSET STRATEGIES, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at ASSET STRATEGIES, INC. →
Introduction

Speak with Alan

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Alan is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in AVON?

Browse all registered financial advisors in AVON, Connecticut or claim this profile if it's yours.

Browse AVON AdvisorsAre you this advisor? Claim profile
05

Frequently Asked Questions

What services does Alan Miles Rothstein offer?
Alan Miles Rothstein specializes in Financial Planning, Investment Management. Contact their office in AVON, Connecticut for a consultation.
What are Alan Miles Rothstein's credentials?
Alan Miles Rothstein is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Alan Miles Rothstein located?
Alan Miles Rothstein is based in AVON, Connecticut, working with ASSET STRATEGIES, INC.. Their office serves clients in the AVON metropolitan area and surrounding communities.
How does Alan Miles Rothstein charge for services?
Alan Miles Rothstein's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is ASSET STRATEGIES, INC.?
ASSET STRATEGIES, INC. has approximately 10 employees and manages $140M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
Not sure what to look for in an advisor?
Try our free Advisor Match Quiz →

Other Advisors at ASSET STRATEGIES, INC.

Connie Ashmore Brezik
CASPER, WY
Diann Elizabeth Mcchesney
AVON, CT

More Advisors in AVON, Connecticut

Jay Stuart Spivak
SPIVAK ASSET MANAGEMENT, LLC·AVON, CT
Lisheng Nmn Wang
ZENTURE CAPITAL MANAGEMENT, LLC·AVON, CT
Guangyan Zhu
ZENTURE CAPITAL MANAGEMENT, LLC·AVON, CT
Steven M Levin
KOV FINANCIAL ADVISORS, LLC·AVON, CT
James Patrick Leonard
THE LEONARD MANAGEMENT GROUP INC·AVON, CT
Andreas Muenderlein
FLOWSTONE PARTNERS, LLC·AVON, CT

Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in Connecticut
STAMFORD (246)GREENWICH (197)WESTPORT (100)HARTFORD (90)WEST HARTFORD (82)WILTON (50)DARIEN (48)GLASTONBURY (40)FAIRFIELD (36)NORWALK (35)
City Guides
STAMFORD GuideGREENWICH GuideWESTPORT GuideHARTFORD GuideWEST HARTFORD Guide
Research
Advisor Fees in ConnecticutNational Fee Analysis
Request removal of this profile