Ralph Lawrence Roth
Professional Summary
Ralph Lawrence Roth, who also goes by Larry Roth, is a registered financial advisor currently at BERKSHIRE GLOBAL ADVISORS LP located in New York, New York. Ralph is registered as a RR (Registered Representative) and started their career in finance in 1986. Ralph has worked at 15 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 22 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Larry Roth
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
BERKSHIRE CAPITAL CORPORATION | BERKSHIRE GLOBAL ADVISORS LP | BERKSHIRE CAPITAL SECURITIES LLC
Contact Information
Main Address
527 Madison Avenue 3rd Floor, New York, NY 10022-4212Mailing Address
527 Madison Avenue 3rd Floor, New York, NY 10022-4212Phone Number
(212) 207-1000Established
Delaware since 08/01/2018Firm Type
Other Types of Legal FormationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (27 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JADA CORP. | MEMBER | — |
| BOMY CAPITAL CORPORATION | MEMBER | — |
| HUMPHREY, JOHN HILDESLEY | MEMBER | 6229742 |
| BERKSHIRE CAPITAL CORPORATION | MEMBER | — |
| DBR HOLDINGS INC. | MEMBER | — |
| DELAMORE FAMILY TRUST | MEMBER | — |
| HJS CORPORATION | MEMBER | — |
| LATIN FIREBIRD CORP. | MEMBER | — |
| SUGAR MAPLE CORPORATION | MEMBER | — |
| BACH, KRISTINA NMN | FINOP, PFO, POO | 4281682 |
| BERKSHIRE GLOBAL ADVISORS GP, LLC | GENERAL PARTNER | — |
| CAMERON, ROBERT BRUCE | CEO | 1146348 |
| DELAMORE INVESTMENTS II PTY LTD | TRUSTEE OF DELAMORE FAMILY TRUST | — |
| DMK HOLDCO INC. | MEMBER | — |
| DUNN, GLENN MICHAEL | MEMBER | 8048233 |
| EMTEMARK, PHILIP RAYMOND | MEMBER | 6378495 |
| FRIEDMAN BDCAPITAL LIMITED | MEMBER | — |
| HACHIM HOLDINGS INC. | MEMBER | — |
| JEANB CORPORATION | MEMBER | — |
| KRUKOWSKI, JULIAN THEODORE | CCO | 3070439 |
| MITCHELL, JULIE ERIN | COO | 3128001 |
| ORANJ INC. | MEMBER | — |
| TARTAN FARM CORP. | MEMBER | — |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(4/30/2018)
(5/7/2018)
(5/4/2018)
(5/4/2018)
(4/25/2018)
(4/26/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Aug 2018About the Series 79 examSeries 22 — Direct Participation Programs Representative Examination
Passed Jan 1986About the Series 22 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Ralph Lawrence Roth's CRS (Customer Relationship Summary).
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