Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alison? Claim Your ProfileAlison Kaye Rothenberger has been a Registered Representative since July 2003 and a Registered Principal since February 2013. Alison has been with Vanguard Marketing Corp. since June 2003. Alison holds several licenses, including Series 6, 7, 24, 26, 51, and 63. Alison holds licenses in Pennsylvania.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
PA
02/22/2013 - Present
Vanguard Marketing Corp. (MALVERN PA)
PA
07/09/2003 - 07/13/2011
VANGUARD MARKETING CORPORATION (MALVERN PA)
BC
Issued 07/16/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2015
Series 24 - General Securities Principal Examination
BC
Issued 05/02/2014
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 02/20/2014
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2015
Series 7 - General Securities Representative Examination
BC
Issued 07/08/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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