Anthony E. Rothenfluch
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Anthony Eric Rothenfluch, who also goes by Tony Eric Rothenfluch, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2004. Anthony had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2017 - August 31, 2021
TPG FINANCIAL ADVISORS, LLC
June 3, 2017 - June 5, 2019
GENEOS WEALTH MANAGEMENT, INC.
December 16, 2004 - October 27, 2006
WORLD TRADE FINANCIAL CORPORATION
Primary Firm SEC Registration
TPG FINANCIAL ADVISORS, LLC
CRD#: 141153 / SEC#: 801-77417
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 10/27/2005
Limited Representative-Equity Trader ExamCurrent Firm
TPG FINANCIAL ADVISORS, LLC
CRD#: 141153 / SEC#: 801-77417
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,587 |
| AUM (Assets Under Management) | $ 1,964,622,586 |
Red Flags
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