Leonard J. 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.
Leonard Jerome Roth, who also goes by Len Roth, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1985. Leonard had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2016 - July 9, 2019
KESTRA ADVISORY SERVICES, LLC
May 1, 2006 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
May 1, 2006 - July 9, 2019
KESTRA INVESTMENT SERVICES, LLC
December 9, 1997 - June 23, 1998
KESTRA INVESTMENT SERVICES, LLC
July 8, 1997 - May 3, 2006
CETERA WEALTH SERVICES, LLC
July 7, 1994 - December 5, 1997
WOODBURY FINANCIAL SERVICES, INC.
June 4, 1991 - May 3, 2006
CETERA WEALTH SERVICES, LLC
February 7, 1991 - June 11, 1991
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 3, 1989 - January 2, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
May 1, 1987 - January 24, 1990
FEDERATION FOR FINANCIAL INDEPENDENCE
June 25, 1986 - October 21, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 15, 1985 - June 17, 1986
GREEN HILL FINANCIAL SERVICE CORPORATION
August 23, 1985 - February 26, 1988
FINANCIAL ADVISORY CLINIC INVESTMENTS, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
