Douglas A. Rothermich

FIDELIS CAPITAL

Saint Charles, MO

CRD#: 4366582

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Professional summary

Douglas Anthony Rothermich is a registered financial advisor currently at FIDELIS CAPITAL located in Saint Charles, Missouri.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Douglas has worked at 3 firms and has passed the Series 65 exam.

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 Douglas Anthony Rothermich's CRS (Customer Relationship Summary).

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

June 6, 2024 - Present

FIDELIS CAPITAL

RIA

CRD#: 322287

Saint Charles, MO

Past

April 6, 2005 - April 15, 2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

ST. LOUIS, MO

Past

January 1, 2001 - April 6, 2005

TIAA-CREF TRUST COMPANY, FSB

RIA

CRD#: 108579

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIDELIS CAPITAL

FIDELIS | FIDELIS CAPITAL PARTNERS, LLC | FIDELIS CAPITAL

CRD#: 322287 / SEC#: 801-126176

RIA

Registered Investment Advisory firm - (7/25/2022 Approved)

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

Missouri
(6/6/2024)

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: 6/6/2024

Uniform Investment Adviser Law Examination

Current Firm

FIDELIS CAPITAL

FIDELIS | FIDELIS CAPITAL PARTNERS, LLC | FIDELIS CAPITAL

CRD#: 322287 / SEC#: 801-126176

RIA

Registered Investment Advisory firm - (7/25/2022 Approved)

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Contact information

Main Address

4221 W Boy Scout Blvd Suite 730, Tampa, FL 33607

Mailing Address

Phone number

(813) 934-6246

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELIS CAPITAL PARTNERS FIRM BROCHURE 3-19-25 (6/4/2025)

Regulatory assets under management

Total Number of Accounts	934
AUM (Assets Under Management)	$ 1,660,321,213

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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Douglas A. Rothermich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Anthony Rothermich's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELIS CAPITAL

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF TRUST COMPANY, FSB

Primary Firm SEC Registration

FIDELIS CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/2024

Current Firm

FIDELIS CAPITAL

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIDELIS CAPITAL

TRUST BUT VERIFY

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