Robert S. Rothe
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.
Robert Siegmund Rothe, who also goes by Bob Rothe, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2021 - October 8, 2021
SOUTHPORT CAPITAL
August 29, 2011 - May 3, 2021
WEALTH MANAGEMENT GROUP, LLC
February 15, 2007 - June 5, 2018
SILVER OAK SECURITIES, INCORPORATED
June 29, 2006 - February 13, 2007
UNITED SECURITIES ALLIANCE, INC.
May 25, 1994 - December 31, 2011
FORTUNE FINANCIAL SERVICES, LLC
July 21, 1988 - July 11, 2006
WALNUT STREET SECURITIES, INC.
June 28, 1984 - June 30, 1988
A. G. EDWARDS & SONS, INC.
December 3, 1979 - June 22, 1984
PRINCIPAL FINANCIAL SECURITIES,INC.
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
Current Firm
SOUTHPORT CAPITAL
CRD#: 113364 / SEC#: 801-60356
Contact information
Regulatory assets under management
| Total Number of Accounts | 3,003 |
| AUM (Assets Under Management) | $ 729,563,934 |
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.
