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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

CHARLES THEODORE ROTHERMEL

Advisor at KOVACK ADVISORS, INC.

Atlanta, GA | FT. LAUDERDALE, FL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 15, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: KOVACK ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 7, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Apr 7, 1981
First registration: Dec 15, 2005
Dual registered: yes, broker-dealer
Other names: CHARLIE ROTHERMEL
IAPD individual key: 405680

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
KOVACK ADVISORS, INC.	Bd affiliated wealth	Dec 17, 2021	n/a	yes	FT. LAUDERDALE, FL\|Atlanta, GA	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Nov 2, 2018	Dec 13, 2021	no	ALPHARETTA, GA	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	Mar 30, 2016	Nov 2, 2018	no	ALPHARETTA, GA\|ATLANTA, GA\|NASHVILLE, TN	Previous registration
THE STRATEGIC FINANCIAL ALLIANCE	Bd affiliated wealth	Jul 17, 2012	Mar 28, 2016	no	ALPHARETTA, GA\|ATLANTA, GA	Previous registration
RETIREMENT PLAN ADVISORS, LLC	Mixed wealth	Dec 15, 2005	Jul 16, 2012	no	ATLANTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC WEALTH, INC.	KOVACK ADVISORS, INC.	Dec 13, 2021	Dec 17, 2021	4	Firm change	Ibd to ibd
SIGNATOR INVESTORS, INC.	OSAIC WEALTH, INC.	Nov 2, 2018	Nov 2, 2018	0	Bulk transfer	Ibd to ibd
THE STRATEGIC FINANCIAL ALLIANCE	SIGNATOR INVESTORS, INC.	Mar 28, 2016	Mar 30, 2016	2	Firm change	Other
RETIREMENT PLAN ADVISORS, LLC	THE STRATEGIC FINANCIAL ALLIANCE	Jul 16, 2012	Jul 17, 2012	1	Firm change	Other

Relationships

Registered with (5)

→ KOVACK ADVISORS, INC.Registered adviserregistration: current employment
Dec 17, 2021 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Nov 2, 2018 to Dec 13, 2021factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
Mar 30, 2016 to Nov 2, 2018factForm ADV
→ THE STRATEGIC FINANCIAL ALLIANCERegistered adviserregistration: previous registration
Jul 17, 2012 to Mar 28, 2016factForm ADV
→ RETIREMENT PLAN ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 15, 2005 to Jul 16, 2012factForm ADV

Dated events

No dated event names this entity yet.