Mark D. 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.
Mark David Roth was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 9 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2023 - July 12, 2024
A&M ASSET ADMINISTRATION, LLC
August 7, 2013 - October 16, 2013
RICHFIELD ORION INTERNATIONAL, INC.
December 14, 2012 - December 22, 2021
CLARAPHI ADVISORY NETWORK, LLC
February 3, 2011 - March 26, 2012
M. DAVID ROTH, LLC
August 4, 2009 - August 3, 2011
B. RILEY WEALTH ADVISORS, INC.
November 29, 2007 - August 2, 2011
NATIONAL SECURITIES CORPORATION
February 20, 2007 - August 24, 2007
B. RILEY WEALTH ADVISORS, INC.
December 5, 2006 - August 24, 2007
NATIONAL SECURITIES CORPORATION
March 23, 2006 - October 13, 2006
SMART PORTFOLIOS, LLC
April 9, 2003 - October 26, 2004
CHADBOURN SECURITIES, INC.
October 29, 2002 - December 31, 2002
GLOBAL INTER EQUITIES (S.A.), INC.
April 28, 1997 - November 10, 2000
NATIONAL SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
A&M ASSET ADMINISTRATION, LLC
CRD#: 319172 / SEC#:
Contact information
Red Flags
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