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Anthony T Rottinghaus

Fidelity Brokerage Services LLC

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About Anthony T Rottinghaus

Anthony Rottinghaus is a financial professional with over 15 years of experience in the industry. Anthony has a strong background in securities and investments, holding multiple licenses and designations, including Series 6, 7, 9, 10, 26, and 63. Anthony is currently registered with Fidelity Brokerage Services LLC and has previously worked with Fidelity Investments Institutional Services Company, Inc. Anthony is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.

Firm Information

Anthony Rottinghaus is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Anthony Rottinghaus’s Registration & Firm History

KY

01/01/2008 - Present

Fidelity Brokerage Services LLC (COVINGTON KY)

KY

01/18/2008 - 01/01/2008

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (COVINGTON KY)

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Licenses & Designations

BC

Issued 05/29/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/28/2014

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/24/2013

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/10/2009

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/08/2012

Series 7 - General Securities Representative Examination

BC

Issued 01/17/2008

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for Anthony T Rottinghaus.
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