Ronald M. 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.
Ronald M Roth was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1988. Ronald had worked at 3 firms and has passed the Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2001 - December 21, 2001
ADVANCED PLANNING SECURITIES, INC.
January 19, 1988 - June 11, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 19, 1988 - June 11, 1999
EQUITABLE ADVISORS, LLC
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
ADVANCED PLANNING SECURITIES, INC.
CRD#: 14382 / SEC#: , 8-17981
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 2 |
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.
