Allan M. Roth
Professional summary
Allan Michael Roth was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Allan is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Allan had worked at 8 firms, which includes REGAL SECURITIES INC., WEDBUSH SECURITIES INC., BROOKSTREET SECURITIES CORPORATION, LASALLE ST SECURITIES L.L.C., EISNER SECURITIES INC., ADVEST INC., KOBER FINANCIAL CORP., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2007 - September 6, 2011
REGAL SECURITIES, INC.
July 2, 2007 - August 17, 2007
WEDBUSH SECURITIES INC.
January 14, 2005 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
September 29, 2001 - December 31, 2004
LASALLE ST SECURITIES, L.L.C.
October 29, 1999 - October 1, 2001
EISNER SECURITIES, INC.
May 28, 1991 - November 22, 1999
ADVEST, INC.
September 14, 1990 - June 4, 1991
KOBER FINANCIAL CORP.
January 23, 1990 - September 20, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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
Series 8
Date: 4/18/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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