Lawrence M. Rothermel
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.
Lawrence Morris Rothermel, who also goes by Lawrence M Rothermel, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1980. Lawrence had worked at 5 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2017 - October 4, 2019
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
January 12, 2009 - May 2, 2017
PLANMEMBER SECURITIES CORPORATION
April 2, 2005 - December 31, 2008
CBIZ FINANCIAL SOLUTIONS, INC.
May 24, 2000 - April 1, 2005
NATIONAL PLANNING CORPORATION
September 16, 1980 - March 31, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
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 1
Date: 9/8/1980
Registered Representative ExaminationCurrent Firm
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
CRD#: 7388 / SEC#: , 8-21584
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
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.
