William D. Rothrock

ROTHROCK FINANCIAL GROUP

FAIRPORT, NY 14450

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CRD#: 3034575

Professional summary

William David Rothrock is a registered financial advisor currently at ROTHROCK FINANCIAL GROUP located in Fairport, New York.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. William has worked at 10 firms and has passed the Series 65, Series 63, Series 57TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

BRANT HICKEY & ASSOC. (dba ROTHROCK SETTLEMENT CONSULTING) - 706 EAST AVE, ROCHESTER NY, 14607 - STRUCTURED SETTLEMENTS - CONSULTANT - STARTED 2001 - 20 HRS. PER MONTH, WITH 20 DURING TRADING HRS. DUTIES INCLUDE CONSULTING WITH ATTORNEY'S, AND INSURANCE COMPANIES ON THE USE OF STRUCTURES FOR INSURED PARTIES. ROTHROCK FINANCIAL GROUP, 706 EAST AVE, ROCHESTER NY, 14607, RIA OWNER, INVESTMENT-RELATED, STARTED 1/2015, 10 HRS/WEEK, 5 DAYS/WEEK, WORK DURING TRADING HOURS; RENTAL AGENT; OWNS 3 PROPERTIES; RENTS TO PEOPLE WITH DISABILITIES; STARTED 1/2015; DOES NOT WORK DURING TRADING HOURS; INVESTMENT-RELATED. GREENROCK TRADING, LLC, 2 HALSTEAD RISE, FAIRPORT, NY 14450, NON-INVESTMENT-RELATED, OWNER, STARTED 6/30/2015; CHECKING ACCOUNT FOR AGGREGATING EARNINGS FROM OTHER OUTSIDE BUSINESS FOR TAX PURPOSES; WORKED 0 HRS/WEEK;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William David Rothrock'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®

None

Experience

Current

March 7, 2025 - Present

ROTHROCK FINANCIAL GROUP

Office #1: 2 Halstead Rise, Fairport, NY 14450

RIA

CRD#: 335275

FAIRPORT, NY

Past

April 17, 2021 - December 31, 2023

ROTHROCK FINANCIAL GROUP

RIA

CRD#: 165112

FAIRPORT, NY

Past

April 23, 2020 - January 12, 2024

HOLD BROTHERS CAPITAL LLC

CRD#: 151864

NEW YORK, NY

Past

September 18, 2012 - March 29, 2019

AVATAR SECURITIES, LLC

CRD#: 147763

NEW YORK, NY

Past

March 30, 2009 - July 10, 2012

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

ROCHESTER, NY

Past

December 17, 2003 - April 1, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

FAIRPORT, NY

Past

March 20, 2003 - December 16, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

April 2, 2002 - November 22, 2002

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

April 2, 2002 - November 22, 2002

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

May 14, 1998 - March 14, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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

New York
(3/7/2025)

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

IAR

Series 65

Date: 6/5/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/1998

General Securities Representative Examination

Current Firm

ROTHROCK FINANCIAL GROUP

ROTHROCK FINANCIAL | ROTHROCK FINANCIAL GROUP

CRD#: 335275 / SEC#:

New York

Registered Investment Advisory firm - (3/7/2025 Approved)

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Contact information

Main Address

2 Halstead Rise, Fairport, NY 14450

Mailing Address

Phone number

(585) 739-1262

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 10,000,000

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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Advisor Monitoring

Firm Stability Insights

William D. Rothrock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William David Rothrock's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTHROCK FINANCIAL GROUP

HOLD BROTHERS CAPITAL LLC

AVATAR SECURITIES, LLC

CAPITOL SECURITIES MANAGEMENT, INC.

MUTUAL SERVICE CORPORATION

VERAVEST INVESTMENTS, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/5/1998

Series 63

Date: 6/5/1998

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/12/1998

Current Firm

ROTHROCK FINANCIAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROTHROCK FINANCIAL GROUP

TRUST BUT VERIFY

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