Gregory Rothrock
Gregory Rothrock is a registered investment advisor at Cetera Investment Advisers LLC, based in Albuquerque, NM, with 30 years of industry experience. Gregory operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Albuquerque, NM
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Gregory is an insurance agent selling life, disability, annuities, and long-term care products, dedicating minimal time to this activity. He also works as a Master Tax Advisor/Enrolled Agent at H&R Block, spending about 10-20% of his time on retail tax preparation and representing clients with the IRS.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Usallianz Securities, INC.Broker
Locust Street Securities, INC.Broker
Pruco Securities CorporationBroker
State Registrations8 states
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