Philip Rothman

Chief Executive Officer
Arcview Capital

Phil is the Chief Executive Officer of Arcview Capital. He joins Arcview after a 20-year career at some of Wall Street’s biggest institutions.

Most recently, Phil was a Senior Vice President of Nation Financial Services, LLC, the institutional and clearing and custody division of Fidelity Investments in Boston. In that capacity, Phil covered NFS’s Capital Markets Division for three years and its Clearing, Custody, and Institutional Asset Management businesses for a year. He was also the Chief Compliance officer for certain limited-purpose broker-dealers within the Fidelity family of businesses.

Prior to Fidelity, Phil was an Executive Director at Morgan Stanley & Co. LLC. Phil, who worked at Morgan Stanley for more than 11 years, served in numerous roles in the Legal and Compliance Division, including Co-Head of U.S. Sales and Trading Compliance, Head of U.S. Fixed Income Compliance, and the Head of the Regulatory Relations Group that handled all of Morgan Stanley’s Institutional and Retail regulatory inquiries and examinations. Phil first joined Morgan Stanley in 2004 as a Vice President and Counsel in its U.S. Regulatory Relations Legal team.

Phil has also spoken about equity and fixed income sales and trading issues at several well-known industry events such as FINRA’s Annual Meeting, the FINRA Fixed Income Conference, and Sifma’s annual C&L Conference.

From 1999 to 2004, Phil was a Regional Trial Counsel at NASD’s Department of Enforcement in its New York Regional office. As Regional Counsel, Phil tried several disciplinary actions before industry hearing panels and led numerous additional disciplinary actions and investigations. For his efforts, he received NASD’s excellence in Service Award in 2002.

After graduating from Cornell University and Brooklyn Law School, Phil practiced law in New York for four years before joining NASD.

Subscribe to Arcview Newsletter

Get exclusive announcements, invitations to our upcoming events, special offers, and more!

Arcview Capital

Please be advised you are leaving the Arcview Group domain.