Andrew R. Rotz

FRUITFUL

Apex, NC

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CRD#: 6264547

Professional summary

Andrew R Rotz, CFP® is a registered financial advisor currently at FRUITFUL located in Apex, North Carolina.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Andrew has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

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.

Andrew Rotz is the Founder, and CEO of Tide & Tempest Financial Planning, LLC. This activity amounts to less than 1 percent of his time during trading hours. Andrew Rotz is a Officer in the U.S. Navy Reserves, this activity amounts to 10 percent of his time during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew R Rotz'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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

November 3, 2022 - Present

FRUITFUL

RIA

CRD#: 322603

Apex, NC

Past

April 4, 2018 - May 3, 2018

SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.

CRD#: 148024

SUMMIT, NJ

Past

March 11, 2015 - October 20, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

DURHAM, NC

Past

January 23, 2014 - October 19, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

CARY, NC

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".

FRUITFUL

FRUITFUL | FRUITFUL, INC. | FRUITFUL ADVISORY, LLC

CRD#: 322603 / SEC#: 801-126497

RIA

Registered Investment Advisory firm - (9/16/2022 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

New York
(11/3/2022)

IAR

North Carolina
(10/6/2025)

IAR

Texas
(10/6/2025)

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: 3/6/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/6/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/23/2014

General Securities Representative Examination

Current Firm

FRUITFUL

FRUITFUL | FRUITFUL, INC. | FRUITFUL ADVISORY, LLC

CRD#: 322603 / SEC#: 801-126497

RIA

Registered Investment Advisory firm - (9/16/2022 Approved)

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Contact information

Main Address

335 Madison Ave. 3rd Fl, New York, NY, 10017

Mailing Address

Phone number

(833) 784-8050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FRUITFUL ADVISORY LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts	300
AUM (Assets Under Management)	$ 9,299,269

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

Andrew R. Rotz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew R Rotz's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

FRUITFUL

State Registrations and Notice Filings

Exams

Series 66

Date: 3/6/2015

Series 63

Date: 3/6/2014

SIE

Date: 5/3/2018

Series 7

Date: 1/23/2014

Current Firm

FRUITFUL

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FRUITFUL

TRUST BUT VERIFY

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