Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Rothermel is a financial advisor with Kovack Advisors, Inc. based in Fort Lauderdale, Florida. Charles has over 50 years of experience in the financial services industry. Charles is a Certified Financial Planner and holds Series 1, 6, 7, 63, and SIE licenses. Charles is registered to provide investment advice in Florida, Georgia, and Tennessee.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
GA
01/04/2022 - Present
Kovack Advisors, Inc. (Atlanta GA)
GA
11/02/2018 - 12/13/2021
ROYAL ALLIANCE ASSOCIATES, INC. (ALPHARETTA GA)
GA
03/28/2016 - 11/02/2018
SIGNATOR INVESTORS, INC. (ALPHARETTA GA)
GA
06/21/2012 - 03/28/2016
THE STRATEGIC FINANCIAL ALLIANCE, INC. (ATLANTA GA)
GA
11/22/2005 - 07/11/2012
CAMBRIDGE INVESTMENT RESEARCH, INC. (ATLANTA GA)
OH
04/02/2005 - 01/03/2006
CBIZ FINANCIAL SOLUTIONS, INC. (CLEVELAND OH)
CA
04/09/2002 - 04/01/2005
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
OH
12/22/2000 - 04/04/2002
CBIZ FINANCIAL SOLUTIONS, INC. (CLEVELAND OH)
CA
06/19/2000 - 12/13/2000
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
OH
02/27/1981 - 04/17/2000
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
MA
06/16/1971 - 07/11/1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
MA
03/14/1969 - 07/11/1990
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
NA
01/27/1978 - 12/06/1978
BACHE HALSEY STUART SHIELDS INCORPORATED
BC
Issued 04/07/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/1969
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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