David A. 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.
David Alan Roth, who also goes by Dave Roth, David A Roth, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1994. David had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
December 3, 2004 - December 31, 2007
ENDOWMENTBUILDERS ADVISORY GROUP, LLC
March 7, 2003 - October 1, 2004
OGILVIE SECURITY ADVISORS CORPORATION
January 31, 2003 - October 1, 2004
OGILVIE SECURITY ADVISORS CORPORATION
August 2, 2000 - February 3, 2003
OSAIC WEALTH, INC.
March 29, 1999 - March 25, 2003
LIBERTY CAPITAL MANAGEMENT, INC.
July 1, 1998 - February 3, 2003
OSAIC WEALTH, INC.
May 23, 1994 - July 20, 1998
WMA SECURITIES, INC.
March 22, 1994 - June 6, 1994
TRANSAMERICA FINANCIAL 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
No current employment
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.
