Charles N. Rother

AMERICAN STRATEGIC CAPITAL

Santa Ana, CA 92707-6714

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CRD#: 1159124

Professional summary

Charles Norbert Rother, CFA, who also goes by Charlie Rother, Chuck Rother, is a registered financial advisor currently at AMERICAN STRATEGIC CAPITAL located in Santa Ana, California and SECTOR LOGIC, LP located in Santa Ana, California.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Charles has worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charlie Rother | Chuck Rother

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

SECTOR LOGIC INVESTMENT ADVISER, INVESTMENT ADVISOR REPRESENTATIVE, 2007. AMERICAN STRATEGIC CAPITAL, INC., REGISTERED INVESTMENT ADVISER, INVESTMENT ADVISER REPRESENTATIVE; INVESTMENT-RELATED; 200 E SANDPOINTE AVE, SUITE 315, SANTA ANA, CA 92707, 2007; SECTOR LOGIC AND AMERICAN STRATEGIC CAPITAL ARE AFFILIATED BY COMMON OWNERSHIP. SECTOR LOGIC PAYS AMERICAN STRATEGIC CAPITAL AN ONGOING LICENSE FEE TO RECEIVE PROPRIETOR RESEARCH. 90% OF TIME IS DEVOTED TO THESE TWO ACTIVITIES. TOP DECILE, INC.; DOES NOT ENGAGE IN INVESTMENT BUSINESS; 200 E. SANDPOINTE AVE., SANTA ANA, 92707; WAS SET UP TO PROVIDE LEGAL BUFFER BETWEEN AMERICAN STRATEGIC CAPITAL, INC. AND SECTOR LOGIC, LP; CEO; FOUNDED ON 12/22/2006; CEO; LESS THAN 1 HOUR MONTHLY; 0 HOURS DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Norbert Rother's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Current

October 6, 2006 - Present

AMERICAN STRATEGIC CAPITAL

Office #1: 200 E. Sandpointe Ave Suite 315, Santa Ana, CA 92707-6714

RIA

CRD#: 138144

Santa Ana, CA

Current

June 21, 2007 - Present

SECTOR LOGIC, LP

Office #1: 200 E. Sandpointe Ave Suite 315, Santa Ana, CA 92707-6714

RIA

CRD#: 143470

Santa Ana, CA

Past

August 9, 2017 - April 1, 2019

VANGUARD CAPITAL

RIA

CRD#: 285052

Irvine, CA

Past

January 7, 1987 - August 18, 1992

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

August 24, 1983 - January 4, 1985

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/6/2006)

IAR

Oregon
(4/24/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/2/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Current Firm

SECTOR LOGIC, LP

CRD#: 143470 / SEC#:

California

Registered Investment Advisory firm - (6/21/2007 Approved)

Oregon

Registered Investment Advisory firm - (4/24/2013 Approved)

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Contact information

Main Address

200 E. Sandpointe Ave Suite 315, Santa Ana, CA 92707-6714

Mailing Address

Phone number

(949) 334-3040

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	83
AUM (Assets Under Management)	$ 48,583,834

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.

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Charles N. Rother

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Norbert Rother's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN STRATEGIC CAPITAL

SECTOR LOGIC, LP

VANGUARD CAPITAL

TRANSAMERICA FINANCIAL ADVISORS, INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/2/1983

Series 7

Date: 8/20/1983

Current Firm

SECTOR LOGIC, LP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SECTOR LOGIC, LP

TRUST BUT VERIFY

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