DR
David P. Rottschafer
KESTRA ADVISORY SERVICES
PEACHTREE CITY, GA 30269
Some features on this profile are disabled
CRD#: 2410589
DR
Professional summary
David Paul Rottschafer, CFP®, who also goes by David Rottschafer, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Peachtree City, Georgia and KESTRA INVESTMENT SERVICES, LLC located in Peachtree City, Georgia.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Rottschafer
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.
Business Name: FAIRWAY FINANCIAL SERVICES DBA ROTTSCHAFER WEALTH SOLUTIONS POS: Agent NOB: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/29/2024 ADDRESS: 271 Highway 74N, Ste 4, Peachtree City GA 30269 DESCRIPTION: Apply for and place insurance products for clients as appropriate in light of their financial plan. Business Name: KESTRA ADVISORY SERVICES, LLC POS: Registered Advisor NOB: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 140 START DATE: 01/29/2024 ADDRESS: 5707 Southwest Parkway, Bldg 2, Ste 400, Austin TX 78735 DESCRIPTION: Fee-based financial planning and asset management Business Name: RWS BUSINESS CONSULTING, LLC POSITION: Partner in the LLC NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/07/2024 ADDRESS: 304 The Enclave, Peachtree City GA 30269 DESCRIPTION: Manage the investment inside of the LLC. Business Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/29/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: IAR Business Name: ROTTSCHAFER WEALTH SOLUTIONS POSITION: Insurance agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/05/2024 ADDRESS: 271 Highway 74N, Ste 4, Peachtree City GA 30269, United States DESCRIPTION: Help identify potential candidates for life settlements and facilitate the procurement process.
CRS (Client Relationship Summary) - RIA
Click below to view David Paul Rottschafer'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®
CFP®
Start date: 2008
Experience
Current
January 29, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 271 Highway 74 N Suite 4, Peachtree City, GA 30269RIA
CRD#: 283330
PEACHTREE CITY, GA
Current
January 29, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 271 Hwy 74 N Suite 4, Peachtree City, GA 30269BD
CRD#: 42046
Peachtree City, GA
Past
January 1, 2004 - February 8, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
PEACHTREE CITY, GA
Past
January 1, 2004 - February 8, 2024
CETERA ADVISORS LLC
BD
CRD#: 10299
PEACHTREE CITY, GA
Past
April 23, 2003 - January 1, 2004
IFG ADVISORY SERVICES INC
RIA
CRD#: 105316
NORCROSS, GA
Past
April 12, 2001 - January 2, 2004
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
December 7, 1999 - April 16, 2001
EISNER SECURITIES, INC.
BD
CRD#: 40585
ST. LOUIS, MO
Past
May 25, 1999 - January 24, 2000
TRIAD ADVISORS LLC
BD
CRD#: 25803
ATLANTA, GA
Past
February 22, 1994 - July 15, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
December 20, 1993 - November 18, 1994
STEIN, SHORE SECURITIES, INC.
BD
CRD#: 31294
ORLANDO, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/29/2024)
RR
Arizona(1/29/2024)
RR
Delaware(1/29/2024)
RR
Florida(1/29/2024)
RR
Georgia(1/29/2024)
IAR
Georgia(1/31/2024)
RR
Illinois(1/29/2024)
RR
Indiana(1/29/2024)
RR
Louisiana(1/29/2024)
RR
Maine(1/29/2024)
RR
Massachusetts(12/10/2024)
RR
New Jersey(1/29/2024)
RR
New York(1/29/2024)
RR
North Carolina(2/12/2024)
RR
Ohio(1/29/2024)
RR
South Carolina(1/29/2024)
RR
Texas(1/29/2024)
IAR
Texas(1/29/2024)
RR
Utah(1/29/2024)
RR
Virginia(1/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Peachtree City, GA 30269TRUST BUT VERIFY
Monitor David Rottschafer
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
