Peter H Rothe

Employer firm

Frost Investment Services CRD 286129

$3.67B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2014 → 04/2018
  Metlife Securities Inc
  Houston, TX
• 03/2017 → 03/2018
  Mml Investors Services, Llc
  Houston, TX
• 04/2018 → 10/2020
  Pruco Securities Llc
  Houston, FL
• 04/2018 → 10/2020
  Prudential Insurance Company Of America
  Houston, TX
• 10/2020 → 04/2021
  Unemployed
  Iowa Colony, TX
• 12/2020 → 03/2021
  Equitable Advisors Llc
  New York, NY
• 04/2021 → 01/2022
  Prudential / Pruco
  Houston, TX
• 03/2021 → 01/2022
  Pruco Securities Llc
  Houston, TX
• 01/2022 → 04/2022
  Penn Mutual Life Insurance Company
  Horsham, PA
• 05/2022 → Present
  Frost Insurance
  Bellaire, TX

Previous Registrations

• 2021-04-01 → 2022-01-25
  Pruco Securities, Llc.
  Houston, TX
• 2020-12-17 → 2021-03-12
  Equitable Advisors, Llc
  Houston, TX
• 2018-07-06 → 2020-10-12
  Pruco Securities, Llc.
  Houston, TX

Exams

• S66 Uniform Combined State Law Examination
  2018-05-16
• S63 Uniform Securities Agent State Law Examination
  2002-08-12

Other Names

• Peter Herbert Rothe