Scott A. Roth

BA SECURITIES

W. Conshohocken, PA 19428

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CRD#: 2539028

Professional summary

Scott Allan Roth is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1994. Scott has worked at 6 firms and has passed the Series 63, Series 82TO, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Allan Roth's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 28, 2017 - Present

BA SECURITIES, LLC

Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428Office #2: 1906 El Camino Real, Suite 201, Menlo Park, CA 94025

CRD#: 153489

W. Conshohocken, PA

Past

April 2, 2008 - October 25, 2012

THINKEQUITY LLC

CRD#: 44274

SAN FRANCISCO, CA

Past

April 13, 2005 - November 2, 2007

PAGEMILL PARTNERS, LLC

CRD#: 132184

PALO ALTO, CA

Past

February 11, 2000 - November 5, 2001

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

January 17, 2000 - February 11, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 22, 1994 - January 17, 2000

VOLPE BROWN WHELAN & COMPANY, LLC

CRD#: 18329

SAN FRANCISCO, CA

State Registrations and Notice Filings

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

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

Alaska
(11/5/2025)

Arizona
(1/2/2025)

California
(6/28/2017)

Colorado
(5/9/2025)

Florida
(5/20/2024)

Illinois
(1/2/2025)

Minnesota
(1/2/2025)

Pennsylvania
(6/28/2017)

Texas
(11/5/2025)

Utah
(10/19/2023)

Exams

State Security Law Exam

Series 63

Date: 6/28/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 5/13/2019

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 6/28/2017

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 12/21/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/31/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BA SECURITIES, LLC

BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS

CRD#: 153489 / SEC#: , 8-68545

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

Mailing Address

Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

Phone number

(877) 738-5841

Established

Pennsylvania since 01/25/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BA HOLDCO, LLC	OWNER
BOLDEN, MICHAEL LABRADOR	CHIEF COMPLIANCE OFFICER	6411755
CHUFF, JOHN JOSEPH	PRESIDENT	1205736
HATLING, PEDER ALAN	PRINCIPAL	5240595
JUILIANO, COLLEEN JANE	FINOP	4818898
KELLER-YOUNG, SUZANNE	OPERATIONS MANAGER	5495492
PICKENS, DANIEL NEHIL	PRINCIPAL	1042225
WENTZLER, DENNIS RAYMOND	CHIEF OPERATIONS OFFICER & AML OFFICER	4221461

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.

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Advisor Monitoring

Firm Stability Insights

Scott A. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Allan Roth's CRS (Customer Relationship Summary).

Certified licenses

Experience

THINKEQUITY LLC

PAGEMILL PARTNERS, LLC

CREDIT SUISSE SECURITIES (USA) LLC

PRUDENTIAL EQUITY GROUP, LLC

VOLPE BROWN WHELAN & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/28/2017

Series 82TO

Date: 5/13/2019

SIE

Date: 10/1/2018

Series 79

Date: 6/28/2017

Series 7

Date: 12/21/1994

Series 24

Date: 12/31/2008

FINRA

Current Firm

BA SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BA SECURITIES, LLC

TRUST BUT VERIFY

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