AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WR

William D. Rothrock

ROTHROCK FINANCIAL GROUP
FAIRPORT, NY 14450
Some features on this profile are disabled
CRD#: 3034575
WR

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.
The advisor shows no other business activity.

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

BD
CRD#: 151864
NEW YORK, NY
Past

September 18, 2012 - March 29, 2019

AVATAR SECURITIES, LLC

BD
CRD#: 147763
NEW YORK, NY
Past

March 30, 2009 - July 10, 2012

CAPITOL SECURITIES MANAGEMENT, INC.

BD
CRD#: 14169
ROCHESTER, NY
Past

December 17, 2003 - April 1, 2009

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
FAIRPORT, NY
Past

March 20, 2003 - December 16, 2003

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA
Past

April 2, 2002 - November 22, 2002

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

April 2, 2002 - November 22, 2002

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

May 14, 1998 - March 14, 2002

PRUDENTIAL EQUITY GROUP, LLC

BD
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)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/5/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/5/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/12/1998
General Securities Representative Examination

Current Firm

RF
ROTHROCK FINANCIAL GROUP
ROTHROCK FINANCIAL | ROTHROCK FINANCIAL GROUP

CRD#: 335275 / SEC#:

New York
Registered Investment Advisory firm - (3/7/2025 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts1
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.

Company Information

ROTHROCK FINANCIAL GROUP

CRD#: 335275Fairport, NY 14450

TRUST BUT VERIFY

Monitor William Rothrock

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Mark Oconnell Downey II
Mark DowneyAdvisorCheck Check Mark
RAYMOND JAMES & ASSOCIATES, INC.
IAR
RR
Rochester, NY
DD
Donald DevittoAdvisorCheck Check Mark
RBC CAPITAL MARKETS, LLC
IAR
RR
Rochester, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.