Ralph L. Roth
Professional summary
Ralph Lawrence Roth, who also goes by Larry Roth, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ralph Lawrence Roth's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 25, 2018 - Present
BERKSHIRE GLOBAL ADVISORS LP
Office #1: 527 Madison Avenue 3rd Floor, New York, NY 10022June 23, 2014 - September 23, 2016
CETERA INVESTMENT SERVICES LLC
June 23, 2014 - September 23, 2016
CETERA FINANCIAL SPECIALISTS LLC
June 23, 2014 - September 23, 2016
CETERA ADVISORS LLC
June 23, 2014 - September 23, 2016
CETERA WEALTH SERVICES, LLC
September 13, 2013 - June 26, 2014
REALTY CAPITAL SECURITIES, LLC
February 1, 2013 - September 6, 2013
WOODBURY FINANCIAL SERVICES, INC.
November 18, 2009 - September 6, 2013
OSAIC SERVICES, INC.
November 18, 2009 - September 6, 2013
OSAIC WEALTH, INC.
November 18, 2009 - September 6, 2013
FSC SECURITIES CORPORATION
August 20, 2009 - August 24, 2009
OSAIC SERVICES, INC.
May 6, 2008 - March 3, 2009
ADVANTAGE CAPITAL CORPORATION
May 6, 2008 - August 24, 2009
FSC SECURITIES CORPORATION
January 17, 2006 - August 24, 2009
OSAIC WEALTH, INC.
October 22, 2004 - January 13, 2006
BERKSHIRE GLOBAL ADVISORS LP
August 28, 2002 - May 6, 2003
VESTAX SECURITIES CORPORATION
November 14, 1990 - October 11, 2000
VESTAX SECURITIES CORPORATION
November 28, 1986 - September 17, 1990
NTS SECURITIES, INC.
July 14, 1986 - October 6, 1986
FIRST OF MICHIGAN CORPORATION
January 14, 1986 - July 22, 1986
HALL SECURITIES 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
(4/30/2018)
(5/7/2018)
(5/4/2018)
(5/4/2018)
(4/25/2018)
(4/26/2018)
Exams
FINRA
Current Firm
BERKSHIRE GLOBAL ADVISORS LP
CRD#: 124180 / SEC#: , 8-65641
Contact information
FINRA licenses (27 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 |
| DUNN, GLENN MICHAEL | MEMBER | 8048233 |
| EMTEMARK, PHILIP RAYMOND | MEMBER | 6378495 |
| FRIEDMAN, JUSTIN A | MEMBER | 6357798 |
| HACHIM, AJMAL BEN | MEMBER | 6762228 |
| JAKHETE, OPAL RAJ | MEMBER | 6685034 |
| JEANB CORPORATION | MEMBER | |
| KOLINSKY, DANIEL MICHAEL | MEMBER | 6734357 |
| KRUKOWSKI, JULIAN THEODORE | CCO | 3070439 |
| MITCHELL, JULIE ERIN | CAO | 3128001 |
| TARTAN FARM CORP. | MEMBER |
Disclosures
| Regulatory Event | 1 |
Red Flags
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