Charles Rothermel
Charles Rothermel is a registered investment advisor at Kovack Advisors, INC., based in Ft. Lauderdale, FL, with 56 years of industry experience. Charles operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 14,305 clients with $5.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Kovack Advisors charges an annual fee based on a percentage of the value of your investments. The maximum annual fee is 2.90%. Fees are negotiable and may be calculated as a flat percentage or on a tiered schedule. Fees are billed quarterly or monthly in advance. You are responsible for brokerage commissions and other transactional costs unless your advisor negotiates to cover ticket charges, which may result in a higher overall advisory fee.
Location
6451 N. Federal Hwy, Suite 1201, Ft. Lauderdale, FL, 33308
Get directionsHistory
Regulatory History (6)
Judgment / Lien
June 2024Judgment / Lien
March 2024Financial
November 2021Judgment / Lien
August 2018Customer Dispute
April 2016Customer Dispute
March 2013Other Business ActivitiesSells Insurance
Charles is a representative for Outside Insurance FMO, FIG & Pinnacle, selling insurance. He spends minimal time on this activity.
Employment History
Current Registrations
Kovack Advisors, INC.
Kovack Securities INC.Broker
Previous Registrations
Royal Alliance Associates, INC.Broker
Royal Alliance Associates, INC.
Signator Investors, INC.
Signator Investors, INC.Broker
The Strategic Financial Alliance
The Strategic Financial Alliance, INC.Broker
Retirement Plan Advisors, LLC
Cambridge Investment Research, INC.Broker
CBIZ Financial Solutions, INC.Broker
National Planning CorporationBroker
CBIZ Financial Solutions, INC.Broker
National Planning CorporationBroker
Nationwide Investment Services CorporationBroker
Bache Halsey Stuart Shields IncorporatedBroker
John Hancock Mutual Life Insurance CompanyBroker
John Hancock Distributors, INC.Broker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.