Kerry F. Rothemich

TIMECAPITAL INVESTOR ADVISORY SERVICES

Smithown, NY

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CRD#: 6990909

Professional summary

Kerry Frances Rothemich, who also goes by Kerry Frances Marsicovetere, is a registered financial advisor currently at TIMECAPITAL INVESTOR ADVISORY SERVICES INC located in Smithown, New York and TIMECAPITAL SECURITIES CORPORATION located in Port Jefferson Station, New York.

Kerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Kerry has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kerry Frances Marsicovetere

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.

1. Kerry F. Rothemich, CPA, PC, 12/2024 to Present. Sole Proprietor, non-investment related, Smithtown, NY. 40+ hours per week. 2. TimeCapital Investor Advisory Services Inc., Solicitor, soliciting clients for the advisory firm, 11/2023 - Present, Investment Advisory Firm, Investment Related: Yes, Address: One Roosevelt Avenue, Port Jefferson Station, NY 11776, 5 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kerry Frances Rothemich'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

November 3, 2023 - Present

TIMECAPITAL INVESTOR ADVISORY SERVICES INC

RIA

CRD#: 105672

Smithown, NY

Current

August 29, 2018 - Present

TIMECAPITAL SECURITIES CORPORATION

Office #1: One Roosevelt Avenue, Port Jefferson Station, NY 11776-3336

CRD#: 6845

Port Jefferson Station, NY

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".

TIMECAPITAL INVESTOR ADVISORY SERVICES INC

CRD#: 105672 / SEC#: 801-11732

RIA

Registered Investment Advisory firm - (7/29/1976 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

California
(3/21/2019)

Florida
(3/21/2019)

Maine
(3/21/2019)

Massachusetts
(11/27/2023)

New York
(11/13/2018)

IAR

New York
(11/3/2023)

North Carolina
(11/27/2023)

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 65

Date: 8/27/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/2018

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: 8/29/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TIMECAPITAL INVESTOR ADVISORY SERVICES INC

CRD#: 105672 / SEC#: 801-11732

RIA

Registered Investment Advisory firm - (7/29/1976 Approved)

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Contact information

Main Address

One Roosevelt Avenue, Port Jefferson Station, NY 11776

Mailing Address

Phone number

(631) 331-1400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TCIA ADV PART 2 BROCHURE (6/27/2025)

Regulatory assets under management

Total Number of Accounts	496
AUM (Assets Under Management)	$ 232,056,930

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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Advisor Monitoring

Firm Stability Insights

Kerry F. Rothemich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kerry Frances Rothemich's CRS (Customer Relationship Summary).

Certified licenses

Experience

TIMECAPITAL SECURITIES CORPORATION

Primary Firm SEC Registration

TIMECAPITAL INVESTOR ADVISORY SERVICES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2023

Series 63

Date: 11/13/2018

SIE

Date: 10/1/2018

Series 7

Date: 8/29/2018

FINRA

Current Firm

TIMECAPITAL INVESTOR ADVISORY SERVICES INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TIMECAPITAL INVESTOR ADVISORY SERVICES INC

TRUST BUT VERIFY

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