Ronald P. 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 Perry Roth, who also goes by Ron Roth, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2005. Ronald had worked at 2 firms and has passed the Series 2 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2012 - October 12, 2013
ARROWHEAD INVESTMENT ADVISORS
August 16, 2005 - December 31, 2009
PERMANENT VALUE INC.
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 2
Date: 12/23/1991
Non-Member General Securities ExaminationCurrent Firm
ARROWHEAD INVESTMENT ADVISORS
CRD#: 121077 / SEC#:
Contact information
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.
