Karl Eugene Rothhaar

Employer firm

Equity Services, Inc. CRD 265

$2.78B regulatory AUM 410 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 03/2014 → 12/2018
  Summit Advisory Group
  Charlotte, NC
• 01/2019 → 03/2019
  Guardian Life Insurance Company
  Charlotte, NC
• 01/2019 → 03/2019
  Park Avenue Securities
  Charlotte, NC
• 04/2019 → Present
  Summit Advisory Group
  Charlotte, NC
• 04/2019 → Present
  Equity Services, Inc.
  Montpelier, VT

Previous Registrations

• 2019-01-28 → 2019-04-02
  Park Avenue Securities Llc
  Charlotte, NC
• 2014-06-20 → 2018-12-31
  Equity Services, Inc.
  Charlotte, NC

Other Businesses

*ROTHHAAR FINANCIAL SERVICES,314 MAYFLY WAY,SIMPSONVILLE,SC 29680,JULY 2019,ONGOING, INV REL,DURING TRD/HRS,INSURANCE,AGENT,90%*KARL ROTHHAAR.314 MAYFLY WAY,SIMPSONVILLE, SC 29680, 01/01/2025,2 YRS,HOA BOARD OF DIRECTOS FOR THE COTTAGES OF HARRISON BRIDGE EAST,COMMUNITY HOA, BOARD MEMBER,5%.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-06-20
• S63 Uniform Securities Agent State Law Examination
  2014-03-13

Other Names

• Karl Rothhaar