LR
Lisa M. Roth
R. F. LAFFERTY & CO.
San Diego, CA
Some features on this profile are disabled
CRD#: 2093325
LR
Professional summary
Lisa Moyer Roth, who also goes by Lisa J Martin, Lisa Jae Martin, Lisa Moyer, Jae Roth, Lisa Jae Roth, is a registered financial advisor currently at R. F. LAFFERTY & CO., INC. located in San Diego, California.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Lisa has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa J Martin | Lisa Jae Martin | Lisa Moyer | Jae Roth | Lisa Jae Roth
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.
1) President of Monahan & Roth, LLC located at 630 1st Ave. San Diego, CA 92101 since 11/05/2001. The firm provides expert witness and compliance consulting. Not investment related. 2)FINRA Dispute Resolution Arbitrator, 1992 to present. Nominal compensation if appointed to a panel. Not investment related. 3) Provide oversight to Responsibility Inc's. President regarding the charity's investments. Responsibility Inc. is a 501 (c) 3 entity that provides education to impoverished children. This is an unpaid, investment-related consulting position and Ms. Roth will devote approximately 1 hour per month to this activity. She has no control or decision-making authority over the charity's investments. 4) Board Director for Sutter Securities, Inc. This is a paid directorship and Ms. Roth will devote 2 hours per month to this activity. Not investment related. 5) Board Manager for Boustead Securities, LLC. This is a paid directorship and Ms. Roth will devote 2 hours per month to this activity. Not investment related. 5) Board Manager for Boustead Securities, LLC. This is a paid directorship and Ms. Roth will devote 2 hours per month to this activity. Not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Moyer Roth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa Moyer Roth's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 13, 2023 - Present
R. F. LAFFERTY & CO., INC.
RIA
BD
CRD#: 2498
San Diego, CA
Current
January 13, 2023 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 40 Wall Street Suite 3602, New York, NY 10005RIA
BD
CRD#: 2498
NEW YORK, NY
Past
May 12, 2016 - August 12, 2022
XTON FINANCIAL LLC
RIA
CRD#: 132847
San Diego, CA
Past
May 4, 2016 - January 17, 2023
XTON FINANCIAL LLC
BD
CRD#: 132847
San Diego, CA
Past
January 2, 2009 - May 11, 2016
COINBASE CAPITAL MARKETS CORP
RIA
CRD#: 10722
SAN DIEGO, CA
Past
August 1, 2002 - January 8, 2007
COINBASE CAPITAL MARKETS CORP
RIA
CRD#: 10722
SAN DIEGO, CA
Past
November 5, 2001 - May 11, 2016
COINBASE CAPITAL MARKETS CORP
BD
CRD#: 10722
SAN DIEGO, CA
Past
May 30, 2000 - November 2, 2001
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
December 14, 1999 - May 31, 2000
FIXED INCOME SECURITIES, INC.
BD
CRD#: 14279
SAN DIEGO, CA
Past
April 22, 1998 - December 7, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 28, 1995 - April 14, 1998
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
April 13, 1995 - April 14, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
October 27, 1994 - April 4, 1995
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
October 11, 1994 - December 15, 1994
DUNCAN CAPITAL LLC
BD
CRD#: 27332
NEW YORK, NY
Past
October 22, 1990 - August 22, 1994
FIRST AFFILIATED SECURITIES
BD
CRD#: 23737
LA JOLLA, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
R. F. LAFFERTY & CO., INC.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
CRD#: 2498 / SEC#: 801-107428, 8-25581
RIA
Registered Investment Advisory firm - SEC (4/1/2016 Approved)Arizona
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (4/8/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (4/7/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/21/2016 Terminated)New York
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/13/2023)
IAR
California(1/13/2023)
RR
New York(1/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
R. F. LAFFERTY & CO., INC.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
CRD#: 2498 / SEC#: 801-107428, 8-25581
RIA
Registered Investment Advisory firm - SEC (4/1/2016 Approved)Arizona
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (4/8/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (4/7/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/21/2016 Terminated)New York
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
40 Wall Street 36th Floor Suite 3602, New York, NY 10005
Mailing Address
40 Wall Street Suite 3602, New York, NY 10005
Phone number
(212) 293-9090
Established
New York since 05/21/1976
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
80
SEC notice filing (17 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 175 |
| AUM (Assets Under Management) | $ 153,036,482 |
Disclosures
| Regulatory Event | 5 |
| 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.
