Charles G. 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.
Charles Gerald Roth, who also goes by Charles Roth, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 11 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
July 17, 2009 - September 14, 2012
WRP INVESTMENTS, INC.
July 17, 2009 - September 14, 2012
WRP INVESTMENTS, INC.
December 18, 2007 - July 20, 2009
WOODBURY FINANCIAL SERVICES, INC.
December 7, 2007 - July 20, 2009
WOODBURY FINANCIAL SERVICES, INC.
October 1, 2007 - December 11, 2007
INVESTORS CAPITAL CORP.
September 27, 2007 - December 11, 2007
INVESTORS CAPITAL CORP.
March 17, 2005 - September 18, 2007
IFMG SECURITIES, INC.
March 17, 2005 - September 18, 2007
IFMG SECURITIES, INC.
October 20, 2004 - March 10, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - March 10, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 30, 2004 - October 20, 2004
QUICK & REILLY, INC.
February 9, 2004 - October 20, 2004
QUICK & REILLY, INC.
May 30, 2003 - February 3, 2004
CITISTREET EQUITIES LLC
November 9, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
November 9, 2001 - June 16, 2003
VALIC FINANCIAL ADVISORS, INC.
August 3, 2001 - August 22, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 30, 1999 - April 26, 2001
EDWARD JONES
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
WRP INVESTMENTS, INC.
CRD#: 7365 / SEC#: 801-39365, 8-21374
Contact information
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Bond | 1 |
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.
