Dennis R. Roth
Professional summary
Dennis Roy Roth was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Dennis had worked at 9 firms, which includes CHESAPEAKE SECURITIES RESEARCH CORPORATION, MEYERS POLLOCK ROBBINS INC., NORTHEAST SECURITIES LLC, FIRST ASSET MANAGEMENT INC., WORLD INVEST CORPORATION, GLOBAL INVESTOR SECURITIES INC., CAPITOL SECURITIES MANAGEMENT INC., ADVEST INC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 1998 - April 4, 2003
CHESAPEAKE SECURITIES RESEARCH CORPORATION
September 18, 1995 - April 6, 1998
MEYERS POLLOCK ROBBINS, INC.
August 25, 1994 - August 30, 1995
NORTHEAST SECURITIES, LLC
August 12, 1993 - July 26, 1994
FIRST ASSET MANAGEMENT, INC.
February 8, 1991 - August 18, 1993
CHESAPEAKE SECURITIES RESEARCH CORPORATION
October 9, 1990 - December 7, 1990
WORLD INVEST CORPORATION
August 14, 1990 - September 25, 1990
WORLD INVEST CORPORATION
May 23, 1990 - August 14, 1990
GLOBAL INVESTOR SECURITIES, INC.
January 22, 1990 - May 24, 1990
CAPITOL SECURITIES MANAGEMENT, INC.
August 27, 1987 - January 17, 1990
ADVEST, INC.
October 30, 1985 - August 5, 1987
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CHESAPEAKE SECURITIES RESEARCH CORPORATION
CRD#: 14161 / SEC#: , 8-30301
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERCHANTS BENEFITS MEMBERS FUND LLC | OWNER | |
| PRASCUS, LAIMUTIS BRUNO | CHAIRMAN & PRESIDENT | 727830 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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