DIANE ROTHBERG is an investment adviser representative (IAR) with state registration records since 2007, appearing at 2 firms. Currently registered with STIFEL, NICOLAUS & COMPANY, INCORPORATED.
| Firm | From | To | Current |
|---|---|---|---|
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | 2015-03-17 | present | Yes |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2007-12-10 | 2015-03-17 | — |