Robert T. 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.
Robert Thomas Roth, who also goes by Bob Roth, Rob Roth, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1995. Robert had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2011 - January 4, 2013
LOGAN CAPITAL MANAGEMENT, INC.
May 18, 2011 - June 20, 2011
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 31, 2010 - April 5, 2011
NEWEDGE USA, LLC
November 24, 2008 - April 20, 2010
MAXIM GROUP LLC
April 17, 2006 - September 27, 2007
MOG CAPITAL L.L.C.
August 29, 1995 - January 21, 1999
PERSHING LLC
Primary Firm SEC Registration
LOGAN CAPITAL MANAGEMENT, INC.
CRD#: 108893 / SEC#: 801-45536
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
LOGAN CAPITAL MANAGEMENT, INC.
CRD#: 108893 / SEC#: 801-45536
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,703 |
| AUM (Assets Under Management) | $ 2,730,663,627 |
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.
