Broker Check
Benjamen Rothwell

Benjamen Rothwell

Senior Compliance Analyst

• Surveillance for Schwab and Fidelity platforms
• Billing for Schwab and Fidelity platforms
• Assist with surveillance on the Hybrid platform

*San Diego, CA

Ben Rothwell began his career as an advisor with Lincoln Financial in 2005. In 2007, he joined LPL’s Advisory Compliance team and he has worked in Business Development and RIA Compliance at other medium-sized IBD’s in San Diego, CA.

Ben was born, raised and currently lives in San Diego, but he also owns farmland on the Oregon Coast. He graduated from San Diego State University in 2005 with a BS in Business Administration, Financial Services (CFP® Board-Registered Program). He currently holds Series 7 (through LPL Financial) and 66 (through Western Wealth Management) licenses.

Ben’s hobbies include music, motorcycles, surfing and building a dream home in Oregon.