Individual Firm
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MICHAEL CRAIG ROTHROCK
CRD#: 3170448
IA
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HORNOR, TOWNSEND & KENT, LLCCRD#: 4031 1550 POND ROAD
SUITE 140
ALLENTOWN, PA 18104
SUITE 140
ALLENTOWN, PA 18104
0
Disclosures
26
Years of Experience
View By:
State Registrations
B
Alabama 2/23/2023
B
Massachusetts 8/12/2024
B
Connecticut 8/20/2020
B
New Jersey 5/12/2014
B
Delaware 6/18/2014
B
North Carolina 6/2/2016
B
Florida 5/10/2018
B
Pennsylvania 5/12/2014
B
Georgia 11/26/2019
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Pennsylvania 6/5/2014
B
Maine 4/2/2024
B
South Carolina 2/9/2017
B
Maryland 4/18/2023
B
Virginia 3/23/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 6/5/2014
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Registered with this firm since 5/12/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/23/2012 - 04/14/2014 | ALLENTOWN, PA | |
B | 07/12/2012 - 04/14/2014 | ALLENTOWN, PA | |
IA | 06/30/2009 - 07/13/2012 | NEWTOWN SQUARE, PA | |
B | 02/10/2009 - 07/13/2012 | NEWTOWN SQUARE, PA | |
IA | 03/06/2008 - 02/20/2009 | ALLENTOWN, PA | |
B | 12/12/2000 - 02/20/2009 | ALLENTOWN, PA | |
B | 12/12/2000 - 07/09/2007 | ALLENTOWN, PA | |
B | 01/20/1999 - 11/17/2000 | CONSHOHOCKEN, PA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.