Marisa Shana Rothstein
Investment Adviser Representative at Advisory Services Network
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Marisa Shana Rothstein is an investment adviser representative with Advisory Services Network in Kinderhook, NY, where they have been registered since 2019. They have worked in the securities industry since 2015 and have been registered with 3 firms, including Bakeravenue and Asset Strategies, Inc. They are registered to provide investment advice in Connecticut, New Hampshire, New York, and Texas.
Registrations & licenses
- Investment adviser:
- Connecticut, New Hampshire, New York, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Baker Avenue Asset Management LPSep 2016 – Oct 2019San Francico, CA
- Advisory Services Network, LLCNov 2019 – no end date reportedAtlanta, GA
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Advisory Services Network
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $25,000 (waivable)
- First $500,0002.25%
- Next $1,500,000 (up to $2,000,000)1.75%
- Next $3,000,000 (up to $5,000,000)1.50%
- Assets Over $5 million1.25%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 250
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Atlanta, GA
- SEC file number:
- 801-71112
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of October 1, 2026
View full firm profileOther advisors at Advisory Services Network
Showing 12 of 250 in the directory
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Marisa Shana Rothstein has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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