Gregory P. Roth
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.
Gregory Phillip Roth was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1988. Gregory had worked at 16 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
March 14, 2013 - September 29, 2015
SOUTHEAST INVESTMENTS, N.C., INC.
January 21, 2004 - December 31, 2012
SOURCE CAPITAL GROUP, INC.
November 20, 2003 - January 12, 2004
CAPITAL GROWTH FINANCIAL, LLC
December 1, 2001 - August 7, 2003
SOURCE CAPITAL GROUP, INC.
October 26, 2001 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
November 20, 2000 - November 26, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
November 6, 2000 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
May 9, 1997 - November 7, 2000
MERIT CAPITAL ASSOCIATES, INC.
April 25, 1995 - May 1, 1997
R.M. STARK & CO., INC.
June 8, 1994 - April 4, 1995
CENTEX SECURITIES, INCORPORATED
April 19, 1993 - June 20, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 25, 1993 - April 12, 1993
GLOBAL CAPITAL SECURITIES CORPORATION
May 1, 1991 - January 25, 1993
KOBER FINANCIAL CORP.
April 20, 1990 - May 10, 1990
R.B. WEBSTER INVESTMENTS, INC.
December 22, 1989 - June 11, 1990
H.J. MEYERS & CO., INC.
August 22, 1988 - January 18, 1990
G. K. SCOTT & CO., INC.
May 25, 1988 - June 21, 1988
WELLSHIRE SECURITIES, INC.
May 25, 1988 - August 29, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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