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JR

James R. Roth

SCOTIA CAPITAL (USA)
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 2784065
JR

Professional summary

James Robert Roth, who also goes by James R Roth, is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James R 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Robert Roth's 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

August 31, 2015 - Present

SCOTIA CAPITAL (USA) INC.

Office #1: 250 Vesey Street, New York, NY 10281
BD
CRD#: 2739
NEW YORK, NY
Past

April 12, 2010 - August 6, 2015

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

March 16, 2009 - April 9, 2010

KNIGHT LIBERTAS LLC

BD
CRD#: 124790
GREENWICH, CT
Past

January 27, 2003 - February 12, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

January 25, 2000 - April 2, 2001

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

February 11, 1999 - January 28, 2000

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

October 25, 1996 - February 10, 1999

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

October 21, 1996 - December 23, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(8/31/2015)
RR
Alaska
(8/31/2015)
RR
Arizona
(8/31/2015)
RR
Arkansas
(8/31/2015)
RR
California
(8/31/2015)
RR
Colorado
(8/31/2015)
RR
Connecticut
(8/31/2015)
RR
Delaware
(8/31/2015)
RR
District of Columbia
(8/31/2015)
RR
Florida
(8/31/2015)
RR
Georgia
(8/31/2015)
RR
Hawaii
(8/31/2015)
RR
Idaho
(8/31/2015)
RR
Illinois
(8/31/2015)
RR
Indiana
(8/31/2015)
RR
Iowa
(8/31/2015)
RR
Kansas
(8/31/2015)
RR
Kentucky
(8/31/2015)
RR
Louisiana
(8/31/2015)
RR
Maine
(8/31/2015)
RR
Maryland
(8/31/2015)
RR
Massachusetts
(8/31/2015)
RR
Michigan
(8/31/2015)
RR
Minnesota
(8/31/2015)
RR
Mississippi
(8/31/2015)
RR
Missouri
(8/31/2015)
RR
Montana
(8/31/2015)
RR
Nebraska
(8/31/2015)
RR
Nevada
(8/31/2015)
RR
New Hampshire
(8/31/2015)
RR
New Jersey
(8/31/2015)
RR
New Mexico
(8/31/2015)
RR
New York
(8/31/2015)
RR
North Carolina
(8/31/2015)
RR
North Dakota
(8/31/2015)
RR
Ohio
(8/31/2015)
RR
Oklahoma
(8/31/2015)
RR
Oregon
(8/31/2015)
RR
Pennsylvania
(8/31/2015)
RR
Puerto Rico
(8/31/2015)
RR
Rhode Island
(8/31/2015)
RR
South Carolina
(8/31/2015)
RR
South Dakota
(8/31/2015)
RR
Tennessee
(1/8/2016)
RR
Texas
(8/31/2015)
RR
Utah
(8/31/2015)
RR
Vermont
(8/31/2015)
RR
Virginia
(8/31/2015)
RR
Washington
(8/31/2015)
RR
West Virginia
(8/31/2015)
RR
Wisconsin
(8/31/2015)
RR
Wyoming
(8/31/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/9/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/28/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/28/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/29/2022
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

SCOTIA CAPITAL (USA) INC.
SCOTIA CAPITAL (USA) INC.
HOWARD WEIL (A DIVISION OF SCOTIABANK) | SCOTIAMCLEOD (USA) INC. | SCOTIA HOWARD WEIL | SCOTIA CAPITAL MARKETS (USA) INC. | SCOTIA CAPITAL (USA) INC. | MCLEOD YOUNG WEIR INCORPORATED

CRD#: 2739 / SEC#: , 8-3716

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
250 Vesey Street, New York, NY 10281
Mailing Address
250 Vesey Street, New York, NY 10281
Phone number
(212) 225-6500
Established
New York since 11/25/1939
Firm type
Corporation
Fiscal year end
October
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SCOTIA HOLDINGS (USA) LLCSOLE SHAREHOLDER
ATTIA, MONCEFBOARD MEMBER4852031
DUSSEAU, SEAN MICHAELCHIEF OPERATING OFFICER & BOARD MEMBER6628832
GALANTE, ANTHONY JAMESCHIEF FINANCIAL OFFICER2168905
GEORGALAS, ANDREAS ZANISCHIEF LEGAL OFFICER4769326
GOHMAN, BENJAMIN EBOARD MEMBER4835406
KAUSHIK, KSHAMTACHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER7523252
KHAN, ARIF KAMALCHIEF COMPLIANCE OFFICER5011278
NATHANSON, GARYBOARD MEMBER4825746
PATEL, HEMANGCHIEF OPERATIONS OFFICER8032984
WANG, ELSA YI-HUIBOARD MEMBER5984605
WILSON, MARC-ANDREBOARD MEMBER6455732

Disclosures

Regulatory Event9

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.

Company Information

SCOTIA CAPITAL (USA) INC.

SCOTIA CAPITAL (USA) INC.

CRD#: 2739New York, NY 10281

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