John E. Rothe
Professional summary
John Edward Rothe JR, who also goes by John Edward Rothe, is a registered financial advisor currently at RIVERBEND INVESTMENT MANAGEMENT, LLC located in Lewes, Delaware.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. John has worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Edward Rothe JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 24, 2008 - Present
RIVERBEND INVESTMENT MANAGEMENT, LLC
July 6, 2006 - October 22, 2008
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 30, 2006 - October 22, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 22, 2006 - July 18, 2006
OPPENHEIMER & CO. INC.
April 15, 2003 - July 19, 2006
OPPENHEIMER ASSET MANAGEMENT
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - July 18, 2006
OPPENHEIMER & CO. INC.
June 22, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
May 22, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
January 29, 1998 - May 14, 2001
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/21/2022)
(2/22/2022)
(10/24/2008)
Exams
Current Firm
RIVERBEND INVESTMENT MANAGEMENT, LLC
CRD#: 148331 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 14,143,366 |
Red Flags
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