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Peter John Rothamel

ROTHAMEL WEALTH MANAGEMENT
URBANDALE, IA
·CRD# 4177891·26 years experience

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.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jack Rothamel

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

ROTHAMEL WEALTH MANAGEMENT, LLC·CRD# 302081
RIA
Urbandale, IA
May 9, 2019 - Present
INVESTACORP, INC.·CRD# 7684
BD
Johnston, IA
November 29, 2013 - September 14, 2018
SUCCESSFUL RESOURCE MANAGEMENT, LTD.·CRD# 110317
RIA
Johnston, IA
May 22, 2013 - July 19, 2019
INVESTMENT ADVISORS CORP·CRD# 117531
RIA
West Des Moines, IA
July 19, 2010 - May 1, 2013
BROKER DEALER FINANCIAL SERVICES CORP.·CRD# 8073
BD
Urbandale, IA
July 16, 2010 - December 2, 2013
WELLS FARGO INVESTMENTS, LLC·CRD# 10582
RIA
Adel, IA
March 16, 2005 - July 19, 2010
WELLS FARGO INVESTMENTS, LLC·CRD# 10582
BD
Adel, IA
December 1, 2004 - July 19, 2010
EDWARD JONES·CRD# 250
BD
St. Louis, MO
June 20, 2000 - December 1, 2004

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Current Firm

RW
ROTHAMEL WEALTH MANAGEMENT, LLC

ROTHAMEL WEALTH MANAGEMENT, LLC

CRD#: 302081
Iowa
Registered Investment Advisory firm - Iowa (5/28/2019 Approved)
Minnesota
Registered Investment Advisory firm - Minnesota (4/16/2021 Approved)
Texas
Registered Investment Advisory firm - Texas (5/9/2019 Conditional Restricted)

Contact Information

Main Address

Urbandale, IA

Phone Number

(515) 491-5380

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

317

AUM (Assets Under Management)

$40,281,741

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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.
IAR
Iowa
(5/28/2019)
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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Mar 2005About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Sep 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2000About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Apr 2011About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Jan 2011About the Series 24 exam

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CRS (Client Relationship Summary) - RIA

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

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