TrueAdvisor
TrueAdvisor
CR
CR

Charles Rothermel

Kovack Advisors, INC.
57 Years of Experience
Atlanta, GA
7 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Charles Rothermel is a registered investment advisor at Kovack Advisors, INC., based in Atlanta, GA, with 57 years of industry experience. Charles is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 13,293 clients with $6.3B in assets under management.

Kovack Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
258 advisors
Number of Clients
13,293 clients
Average Client Portfolio
$472K average
Assets Under Management
$6.3B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.90%

Maximum annual fee is 2.90%. Fees are negotiable depending on asset amount, type, complexity, and services provided. Combined fees with third-party managers will not exceed 2.90%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

6100 Lake Forrest Drive, Suite 340, Atlanta, GA, 30328

Get directions

History

Regulatory History (7)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
February 2026
Judgment / Lien
June 2024
Judgment / Lien
March 2024
Financial
November 2021
Final
Judgment / Lien
August 2018
Customer Dispute
April 2016
Closed-No Action
Customer Dispute
March 2013
Settled
View Full SEC ReportHow to Read Disclosures
Other 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.
December 2021 - Present · 4 yrs 10 mos
Kovack Securities INC.Broker
December 2021 - Present · 4 yrs 10 mos
Previous Registrations
Royal Alliance Associates, INC.Broker
November 2018 - December 2021 · 3 yrs 1 mo
Royal Alliance Associates, INC.
November 2018 - December 2021 · 3 yrs 1 mo
Signator Investors, INC.
March 2016 - November 2018 · 2 yrs 8 mos
Signator Investors, INC.Broker
March 2016 - November 2018 · 2 yrs 8 mos
The Strategic Financial Alliance
July 2012 - March 2016 · 3 yrs 8 mos
The Strategic Financial Alliance, INC.Broker
June 2012 - March 2016 · 3 yrs 9 mos
Retirement Plan Advisors, LLC
December 2005 - July 2012 · 6 yrs 7 mos
Cambridge Investment Research, INC.Broker
November 2005 - July 2012 · 6 yrs 8 mos
CBIZ Financial Solutions, INC.Broker
April 2005 - January 2006 · 9 mos
National Planning CorporationBroker
April 2002 - April 2005 · 3 yrs
CBIZ Financial Solutions, INC.Broker
December 2000 - April 2002 · 1 yr 4 mos
National Planning CorporationBroker
June 2000 - December 2000 · 6 mos
Nationwide Investment Services CorporationBroker
February 1981 - April 2000 · 19 yrs 2 mos
Bache Halsey Stuart Shields IncorporatedBroker
January 1978 - December 1978 · 11 mos
John Hancock Mutual Life Insurance CompanyBroker
June 1971 - July 1990 · 19 yrs 1 mo
John Hancock Distributors, INC.Broker
March 1969 - July 1990 · 21 yrs 4 mos
State Registrations3 states
FLGATN
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Atlanta, GA →All financial advisors in Georgia →