Alan 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.
Alan Arthur Roth was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1994. Alan had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2018 - December 23, 2019
K. W. CHAMBERS & CO.
April 27, 2011 - October 31, 2016
FORESTERS EQUITY SERVICES, INC.
March 9, 2007 - April 15, 2011
HORNOR, TOWNSEND & KENT, LLC
May 21, 1998 - March 2, 2007
HORNOR, TOWNSEND & KENT, LLC
June 22, 1994 - June 5, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 22, 1994 - June 5, 1998
OSAIC FA, 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
Current Firm
K. W. CHAMBERS & CO.
CRD#: 1432 / SEC#: , 8-10533
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
