Unclaimed Profile

Kenneth Dale Rosplock

NBT CAPITAL MANAGEMENT, INC.·JOHNSON CITY, New York

SIE, Series 6, Series 7, Series 24, Series 63CFPClean record23 years registeredNBT CAPITAL MANAGEMENT, INC.

520 COLUMBIA DRIVE, JOHNSON CITY, NY 13790-3330CRD# 1123339Firm CRD# 104932

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Kenneth Dale Rosplock · JOHNSON CITY, NY

Registration

CRD #1123339 · NBT CAPITAL MANAGEMENT, INC. · 23 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: NBT CAPITAL MANAGEMENT, INC.

NBT CAPITAL MANAGEMENT, INC.

May 2003 – Apr 2022

JOHNSON CITY, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 63

Registration record

First registered · May 20, 2003

Years registered · 23

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

NBT CAPITAL MANAGEMENT, INC.

CRD 104932 · SEC 801-30786

AUM

$1.3B

Regulatory assets under management

Employees

1,116 client accounts

Services offered by NBT CAPITAL MANAGEMENT, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at NBT CAPITAL MANAGEMENT, INC. →

Introduction

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Frequently Asked Questions

What services does Kenneth Dale Rosplock offer?

Kenneth Dale Rosplock specializes in Financial Planning, Investment Management, Wealth Management.

What are Kenneth Dale Rosplock's credentials?

Kenneth Dale Rosplock holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Kenneth Dale Rosplock located?

Kenneth Dale Rosplock is based in JOHNSON CITY, New York, last registered with NBT CAPITAL MANAGEMENT, INC..

How does Kenneth Dale Rosplock charge for services?

Kenneth Dale Rosplock's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NBT CAPITAL MANAGEMENT, INC.?

NBT CAPITAL MANAGEMENT, INC. has approximately 17 employees and manages $1.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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