Inactive

John Edward Rothe

Artais Capital Management, LLC

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Current Employers

Artais Capital Management, Llc

Lewes, DE • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2022-02-22
DE	RA	APPROVED	2022-02-21
VA	RA	APPROVED	2008-10-27

MD RA
APPROVED

Since 2022-02-22
DE RA
APPROVED

Since 2022-02-21
VA RA
APPROVED

Since 2008-10-27

Branch Locations

Lewes, DE • 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

Organization	City	State	From	To
Artais Capital Management, Llc	Lewes	DE	06/2006	Present

06/2006 → Present

Artais Capital Management, Llc

Lewes, DE

Previous Registrations

2006-07-06 → 2008-10-22

Cambridge Investment Research Advisors, Inc.

Washington, DC

Mclean, VA
2003-04-15 → 2006-07-19

Oppenheimer Asset Management

New York, NY
2003-01-03 → 2006-07-18

Oppenheimer & Co. Inc.

Washington, DC

Washington, DC
2001-06-22 → 2003-01-03

Cibc World Markets Corp.

Washington , DC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-07-21
S63	Uniform Securities Agent State Law Examination	1998-03-23

S65 Uniform Investment Adviser Law Examination

1998-07-21
S63 Uniform Securities Agent State Law Examination

1998-03-23

Other Names

John Edward Rothe

View on SEC IAPD

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