Gerard M. Roth

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CRD#: 2498720

Professional summary

Gerard Mauro Roth JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gerard is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Gerard had worked at 12 firms, which includes BEDMINSTER FINANCIAL GROUP LIMITED, PACIFIC CORTEZ SECURITIES INCORPORATED, WINCHESTER INVESTMENT SECURITIES INC., TASIN & COMPANY INC., FIRST LIBERTY INVESTMENT GROUP INC., ARGENT SECURITIES INC., EURO-ATLANTIC SECURITIES INC., H.J. MEYERS & CO. INC., LCP CAPITAL CORP., A.S. GOLDMEN & CO. INC., CORTLANDT CAPITAL CORPORATION, BARRETT DAY SECURITIES INC..

Question & Answer

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Aliases

Gerard Mauro 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.

The advisor shows no other business activity.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 15, 1999 - April 25, 1999

BEDMINSTER FINANCIAL GROUP, LIMITED

CRD#: 39916

HOLICONG, PA

Past

October 26, 1998 - February 24, 1999

PACIFIC CORTEZ SECURITIES INCORPORATED

CRD#: 24341

SAN DIEGO, CA

Past

September 17, 1998 - September 17, 1998

WINCHESTER INVESTMENT SECURITIES, INC.

CRD#: 28543

OVERLAND PARK, KS

Past

October 8, 1997 - September 3, 1998

TASIN & COMPANY, INC.

CRD#: 30709

HAUPPAUGE, NY

Past

March 12, 1997 - May 9, 1997

FIRST LIBERTY INVESTMENT GROUP, INC.

CRD#: 3536

PHILADELPHIA, PA

Past

December 6, 1996 - January 31, 1997

ARGENT SECURITIES, INC.

CRD#: 15297

ATLANTA, GA

Past

April 11, 1996 - July 11, 1997

EURO-ATLANTIC SECURITIES INC.

CRD#: 21367

BOCA RATON, FL

Past

February 27, 1996 - April 17, 1996

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

March 16, 1995 - December 11, 1995

EURO-ATLANTIC SECURITIES INC.

CRD#: 21367

BOCA RATON, FL

Past

January 13, 1995 - June 12, 1995

LCP CAPITAL CORP.

CRD#: 14469

STATEN ISLAND, NY

Past

October 26, 1994 - January 20, 1995

A.S. GOLDMEN & CO., INC.

CRD#: 23180

RED BANK, NJ

Past

September 19, 1994 - November 3, 1994

CORTLANDT CAPITAL CORPORATION

CRD#: 25152

NEW YORK CITY, NY

Past

September 1, 1994 - September 27, 1994

BARRETT DAY SECURITIES, INC.

CRD#: 17717

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 9/15/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/31/1994

General Securities Representative Examination

Current Firm

BEDMINSTER FINANCIAL GROUP, LIMITED

BEDMINSTER FINANCIAL GROUP, LIMITED | PRIME CORE, INC.

CRD#: 39916 / SEC#: , 8-48909

Terminated by SEC on 02/17/2014

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 03/20/1995

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
VANPELT, ROBERT MARTIN	CHIEF COMPLIANCE OFFICER	453274
VANPELT, ROBERT MARTIN	CHIEF FIANCIAL OFFICER/ CHAIRMAN	453274
VANPELT, ROBERT MARTIN	PRESIDENT CEO	453274

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Gerard M. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PACIFIC CORTEZ SECURITIES INCORPORATED

WINCHESTER INVESTMENT SECURITIES, INC.

TASIN & COMPANY, INC.

FIRST LIBERTY INVESTMENT GROUP, INC.

ARGENT SECURITIES, INC.

EURO-ATLANTIC SECURITIES INC.

H.J. MEYERS & CO., INC.

EURO-ATLANTIC SECURITIES INC.

LCP CAPITAL CORP.

A.S. GOLDMEN & CO., INC.

CORTLANDT CAPITAL CORPORATION

BARRETT DAY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/15/1994

Series 7

Date: 8/31/1994

Current Firm

BEDMINSTER FINANCIAL GROUP, LIMITED

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BEDMINSTER FINANCIAL GROUP, LIMITED

TRUST BUT VERIFY

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