Howard Rothman has been Manager, CEO, and Owner of Vision Investment Advisors since July 2000, is a control person of the firm and directly owns between 25% and 50% of it.
Vision Investment Advisors, LLC is a Stamford, CT firm with $137M under management, 129 clients and 4 advisers across 5 offices, as of its May 2026 filing.
- – present · 20 yearsStamford, CT · Adviser representative · Firm CRD 109621
Investment adviser representative registrations
Howard Rothman is registered as an investment adviser representative in 24 states, as a resident of Texas. The first approvals date from July 2006; the most recent is Massachusetts, in August 2021.
- ArizonaSince 26 January 2021
- CaliforniaSince 19 February 2015
- ConnecticutSince 23 March 2007
- DelawareSince 13 January 2021
- FloridaSince 22 May 2015
- IdahoSince 19 January 2021
- IllinoisSince 19 February 2015
- LouisianaSince 19 January 2021
- MassachusettsSince 2 August 2021
- MichiganSince 19 February 2015
- NebraskaSince 19 February 2015
- NevadaSince 26 January 2021
- New HampshireSince 9 February 2021
- New JerseySince 20 February 2015
- New MexicoSince 14 January 2021
- North CarolinaSince 19 January 2021
- OhioSince 13 January 2021
- PennsylvaniaSince 13 January 2021
- Rhode IslandSince 23 June 2020
- South CarolinaSince 13 January 2021
- TennesseeSince 22 August 2015
- TexasResidentSince 6 July 2006
- VermontSince 14 January 2021
- WisconsinSince 13 January 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 26 January 2007 |
| Series 27 | Financial and Operations Principal Examination | 25 January 2000 |
| Series 4 | Registered Options Principal Examination | 17 June 1998 |
| Series 24 | General Securities Principal Examination | 26 May 1998 |
| Series 7 | General Securities Representative Examination | 16 September 1989 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 March 1987 |
| Series 22 | Direct Participation Programs Representative Examination | 16 March 1987 |
| Series 39 | Direct Participation Programs Principal Examination | 26 January 1987 |
| Series 3 | National Commodity Futures Examination | 19 April 1983 |
- Name
- Securities Trader Exam
- Name
- Operations Professional Examination
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Financial and Operations Principal Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Direct Participation Programs Principal Examination
- Name
- National Commodity Futures Examination
- Full name
- Howard Martin Rothman
- CRD
- 1098190
- Firm
- Vision Investment Advisors · CRD 109621
- Role
- Manager, CEO, and Owner
- Office
- 1010 WASHINGTON BLVD, SUITE 300, Stamford, CT 06901
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 1988
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Howard Rothman work?
Howard Rothman has been Manager, CEO, and Owner of Vision Investment Advisors, LLC since July 2000, and is a control person of the firm.
Is Howard Rothman a financial advisor?
Yes. Howard Rothman has a current investment-adviser registration in Arizona, California, Connecticut, Delaware, Florida, Idaho, Illinois, Louisiana, Massachusetts, Michigan, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont and Wisconsin, through Vision Investment Advisors since July 2006.
How many years of experience does Howard Rothman have?
Howard Rothman has 37 years in the financial industry, since December 1988, across 1 adviser firm.
What exams has Howard Rothman passed?
Howard Rothman has passed 12 licensing exams: the Series 3, Series 39, Series 22, Series 63, Series 7, Series 24, Series 4, Series 27, Series 65, Series 57TO, Series 99TO and Series 52TO. The earliest, the Series 3, was passed in April 1983. FINRA credited Howard Rothman with the SIE, which began in October 2018.
Where is Howard Rothman based?
Howard Rothman’s registered office is in Stamford, CT.
Is Howard Rothman registered with FINRA?
Yes. Howard Rothman has a current broker registration, under CRD 1098190.
Source: FINRA BrokerCheck
How can I verify Howard Rothman’s record?
Search CRD 1098190 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Howard Rothman’s full registration record.