Equity Services, Inc

Investment Advisor
in Charlotte, NC

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About this Advisor

Karl Rothhaar is a financial advisor working out of Charlotte, North Carolina, with a total of 4 years of industry experience. Rothhaar currently works for Equity Services, Inc. Over the course of their career, they have held roles at The Teague Group, Summit Advisory Group, Equity Services, Inc, Park Avenue Securities and Guardian Life Insurance Company. Rothhaar holds Series 63 and Series 65 licenses, qualifying them as both a securities agent and an investment advisor representative, and is approved to work in North Carolina. Equity Services, Inc is a registered investment company headquartered in Montpelier, VT. The investment advisory business has offices in 220 locations and a total of 440 people on staff. It administers $2 billion in assets under management across its 11,317 accounts, placing it among the largest investment advisory firms in the United States by assets under management. The firm provides services to five charitable organizations. Of its 11,317 customer accounts, 23% are associated with high-net-worth individuals who have more than $1 million in investable assets. The advisory firm offers a broad assortment of services, such as financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers and educational seminars. Fees charged by financial advisors vary depending on which services the firm provides the client. Fee types billed by Equity Services, Inc most likely include asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

4 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Office Location

5925 Carnegie Blvd Suite 300
Charlotte, NC 28209

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Equity Services, Inc Brokerage Details

Total Assets Under Management


NC Average: $4,257,716,217
Total Number of Employees


NC Average: 30
Total Number of Accounts


NC Average: 868
Average Account Size


NC Average: $4,905,203

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops

Karl Rothhaar Work History

Karl has been registered as a financial advisor for 4 years.*

2019 - Present (5 years)

Summit Advisory Group

2019 - Present (5 years)

Equity Services, Inc

2019 - 2019 (< 1 year)

Park Avenue Securities

2019 - 2019 (< 1 year)

Guardian Life Insurance Company

2014 - 2018 (4 years)

Summit Advisory Group

2013 - 2014 (1 year)

The Teague Group

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.


Please visit the SEC profile of Karl Rothhaar to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

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The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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