Best Investors
Account
Sign in
Best Investors
Account
Sign in
One National Life Drive, Montpelier, VT 05604 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2023-11-13 |
Branch Locations
1515 Mockingbird Lane Suite 800, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Summit Advisory Group | Charlotte | NC | 03/2014 | 12/2018 |
| Guardian Life Insurance Company | Charlotte | NC | 01/2019 | 03/2019 |
| Park Avenue Securities | Charlotte | NC | 01/2019 | 03/2019 |
| Summit Advisory Group | Charlotte | NC | 04/2019 | Present |
| Equity Services, Inc. | Montpelier | VT | 04/2019 | Present |
*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%.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-06-20 |
| S63 | Uniform Securities Agent State Law Examination | 2014-03-13 |
Reach out to this advisor