Charles F. Rolph
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Frederick Rolph III, CFP®, who also goes by Charles Frederick III Rolph, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2010 - May 7, 2025
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 29, 2010 - November 3, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 29, 2010 - November 3, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 8, 2007 - April 29, 2010
AMERICAN FIDELITY SECURITIES, INC.
November 3, 2006 - November 17, 2006
MSI FINANCIAL SERVICES, INC.
January 11, 2005 - November 17, 2006
METROPOLITAN LIFE INSURANCE COMPANY
January 11, 2005 - November 17, 2006
MSI FINANCIAL SERVICES, INC.
August 13, 2002 - February 3, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 13, 2002 - June 19, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 7, 2001 - August 15, 2002
OSAIC FS, INC.
November 19, 1989 - February 21, 1991
OSAIC WEALTH, INC.
August 25, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 5, 1984 - May 24, 1985
SOUTHMARK FINANCIAL SERVICES, INC.
October 20, 1982 - September 6, 1984
JNL EQUITY CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| AMBROZY, TINA S | PRESIDENT/BOARD DIRECTOR | 3149224 |
| HAWLEY, CRAIG ALAN | BOARD DIRECTOR | 4499105 |
| RABENSTINE, JAMES JAY | CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD DIRECTOR | 5250338 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
