Peter J. Rothamel

ROTHAMEL WEALTH MANAGEMENT

Urbandale, IA

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CRD#: 4177891

Professional summary

Peter John Rothamel, who also goes by Jack Rothamel, is a registered financial advisor currently at ROTHAMEL WEALTH MANAGEMENT, LLC located in Urbandale, Iowa.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Peter has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jack Rothamel

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.

1) Peter Rothamel Insurance, Investment Related, Conducted from 4812 63rd Street, Urbandale, IA 50322. The nature of the Outside Business Activity (OBA) is fixed insurance sales, my position in the organization is owner, the duties of this position are fixed insurance sales. 11/2012 was the start of the relationship with the other business and 0 hours are devoted to the other business per week and 5 of hours are devoted to the other business during securities trading hours per month. 2) Author, Non-Investment Related, Conducted from 4812 63rd Street, Urbandale, IA 50322. The nature of the Outside Business Activity (OBA) is book sales, my position in the organization is owner. The duties of this position are author of book titled "Let's Blame Everybody". 2010 was the start of the relationship with the other business and 0 hours are devoted to the other business per week and 0 of hours are devoted to the other business during securities trading hours per month. 3) CARTRIGHT & KENNEDY, INC, NON-INVESTMENT RELATED, CONDUCTED FROM 108 THIRD STREET, SUITE 322, DES MOINES, IA 50309. THE NATURE OF THE OUTSIDE BUSINESS ACTIVITY (OBA) IS CARTRIGHT & KENNEDY INC., MY POSITION IN THE ORGANIZATION IS OFFICER. 07/2016 WAS THE START OF THE RELATIONSHIP WITH THE OTHER BUSINESS AND 1 HOURS ARE DEVOTED TO THE OTHER BUSINESS PER WEEK AND 0 OF HOURS ARE DEVOTED TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter John Rothamel'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

May 9, 2019 - Present

ROTHAMEL WEALTH MANAGEMENT, LLC

RIA

CRD#: 302081

Urbandale, IA

Past

November 29, 2013 - September 14, 2018

INVESTACORP, INC.

CRD#: 7684

JOHNSTON, IA

Past

May 22, 2013 - July 19, 2019

SUCCESSFUL RESOURCE MANAGEMENT, LTD.

RIA

CRD#: 110317

JOHNSTON, IA

Past

July 19, 2010 - May 1, 2013

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

WEST DES MOINES, IA

Past

July 16, 2010 - December 2, 2013

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

URBANDALE, IA

Past

March 16, 2005 - July 19, 2010

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

ADEL, IA

Past

December 1, 2004 - July 19, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

ADEL, IA

Past

June 20, 2000 - December 1, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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

Iowa
(5/28/2019)

IAR

Minnesota
(4/16/2021)

IAR

Texas
(5/9/2019)

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 66

Date: 3/15/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/21/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/14/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/19/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/20/2011

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/18/2011

General Securities Principal Examination

Current Firm

ROTHAMEL WEALTH MANAGEMENT, LLC

CRD#: 302081 / SEC#:

Iowa

Registered Investment Advisory firm - (5/28/2019 Approved)

Minnesota

Registered Investment Advisory firm - (4/16/2021 Approved)

Texas

Registered Investment Advisory firm - (5/9/2019 Conditional Restricted)

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Contact information

Main Address

Urbandale, IA

Mailing Address

Phone number

(515) 491-5380

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	284
AUM (Assets Under Management)	$ 39,353,185

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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Firm Stability Insights

Peter J. Rothamel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter John Rothamel's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTACORP, INC.

SUCCESSFUL RESOURCE MANAGEMENT, LTD.

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2005

Series 63

Date: 6/21/2000

SIE

Date: 9/14/2018

Series 7

Date: 6/19/2000

Series 53

Date: 4/20/2011

Series 24

Date: 1/18/2011

Current Firm

ROTHAMEL WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROTHAMEL WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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