Peter H. Rothe

FROST INVESTMENT SERVICES

BELLAIRE, TX 77401

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CRD#: 4531147

Professional summary

Peter H Rothe, CLU®, who also goes by Peter Herbert Rothe, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Bellaire, Texas and FROST BROKERAGE SERVICES, INC. located in San Antonio, Texas.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Peter has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter Herbert Rothe

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 Peter H Rothe'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®

CLU^®

Chartered Life Underwriter

Experience

Current

May 6, 2022 - Present

FROST INVESTMENT SERVICES

Office #1: 6750 West Loop S, Bellaire, TX 77401

RIA

CRD#: 286129

BELLAIRE, TX

Current

May 6, 2022 - Present

FROST BROKERAGE SERVICES, INC.

Office #1: 111 W Houston Ste 100, San Antonio, TX 78205

CRD#: 17465

SAN ANTONIO, TX

Past

March 15, 2022 - May 3, 2022

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

HOUSTON, TX

Past

April 1, 2021 - January 25, 2022

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

HOUSTON, TX

Past

April 1, 2021 - January 25, 2022

PRUCO SECURITIES, LLC.

CRD#: 5685

HOUSTON, TX

Past

December 17, 2020 - March 12, 2021

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

HOUSTON, TX

Past

December 17, 2020 - March 12, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

HOUSTON, TX

Past

July 6, 2018 - October 12, 2020

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

HOUSTON, TX

Past

April 27, 2018 - October 12, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

HOUSTON, TX

Past

March 25, 2017 - April 5, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

HOUSTON, TX

Past

June 20, 2014 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HOUSTON, TX

Past

June 25, 2002 - June 18, 2014

NYLIFE SECURITIES LLC

CRD#: 5167

HOUSTON, TX

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".

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(5/6/2022)

IAR

Texas
(5/6/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/16/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/12/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/24/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

111 West Houston Street, San Antonio, TX 78205

Mailing Address

Po Box 2538, San Antonio, TX 78299

Phone number

(210) 220-5000

Established

Firm type

Fiscal year end

# of Employees

177

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIS FORM ADV PART 2A 2025 (12/10/2025)

Regulatory assets under management

Total Number of Accounts	3,179
AUM (Assets Under Management)	$ 2,976,654,932

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/12/2025	Cover Page	Report
10/10/2024	Cover Page	Report
11/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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 H. Rothe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter H Rothe's CRS (Customer Relationship Summary).

Certified licenses

Experience

FROST BROKERAGE SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

FROST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 5/16/2018

Series 63

Date: 8/12/2002

SIE

Date: 10/1/2018

Series 7

Date: 9/6/2011

Series 6

Date: 6/24/2002

Series 24

Date: 11/27/2012

FINRA

Current Firm

FROST INVESTMENT SERVICES

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FROST INVESTMENT SERVICES

TRUST BUT VERIFY

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