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Douglas A Rothenberger

Ameriprise Financial Services, LLC

Exton, PA

Gilbertsville, PA

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-01-25
PA RA APPROVED 2021-01-05
  • TX RA
    APPROVED_RES
    Since 2024-01-25
  • PA RA
    APPROVED
    Since 2021-01-05

Branch Locations

314 Exton Comns, Exton, PA 19341 • United States

Gilbertsville, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Llc Exton PA 03/2020 Present
Keybank Douglassville PA 09/2016 12/2017
Ascensus Dresher PA 12/2017 01/2020
Unemployed Gilbertsville PA 01/2020 03/2020
Unemployed Gilbertsville PA 10/2015 09/2016
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Exton, PA
  • 09/2016 → 12/2017
    Keybank
    Douglassville, PA
  • 12/2017 → 01/2020
    Ascensus
    Dresher, PA
  • 01/2020 → 03/2020
    Unemployed
    Gilbertsville, PA
  • 10/2015 → 09/2016
    Unemployed
    Gilbertsville, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-29
S63 Uniform Securities Agent State Law Examination 2000-10-10
  • S66 Uniform Combined State Law Examination
    2020-12-29
  • S63 Uniform Securities Agent State Law Examination
    2000-10-10
Other Names
  • Douglas Alan Rothenberger
  • Douglas Rothenberger
  • Doug Rothenberger

View on SEC IAPD

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Other Investors

EUAN LIVINGTON
MATTHEW J. KELLEHER
PATRICK M FARREN
BRIAN SCHWEITZER
MANDY SUE SNIDER
DOUGLAS MCALLISTER
ANDREW JAMES MASON
KYLE GADIEL

Other Offices

STRATEGIC ADVISERS LLC · EXTON, PA
TD PRIVATE CLIENT WEALTH LLC · EXTON, PA
COMMONWEALTH FINANCIAL NETWORK · EXTON, PA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · EXTON, PA
COMPREHENSIVE FINANCIAL ADVISERS · EXTON, PA
COMMONWEALTH FINANCIAL NETWORK · EXTON, PA
HORNOR, TOWNSEND & KENT, LLC · EXTON, PA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Exton, PA

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