JR
Jennifer S. Roth
WESBANCO SECURITIES
Wheeling, WV 26003
Some features on this profile are disabled
CRD#: 3247469
JR
Professional summary
Jennifer Sue Roth, who also goes by Jennifer Roth, is a registered financial professional currently at WESBANCO SECURITIES, INC. located in Wheeling, West Virginia.
Jennifer is registered as a RR (Registered Representative) and started their career in finance in 2000. Jennifer has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 28, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jennifer 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.
CRS (Client Relationship Summary) - BD
Click below to view Jennifer Sue 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®
NoneExperience
Current
May 16, 2019 - Present
WESBANCO SECURITIES, INC.
Office #1: Wesbanco Trust & Investment Services 1 Bank Plaza, Wheeling, WV 26003Office #2: Wesbanco Securities Inc 1 Bank Plaza, Wheeling, WV 26003RIA
BD
CRD#: 43276
Wheeling, WV
Past
December 17, 2015 - April 30, 2019
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
Past
October 12, 2011 - November 5, 2015
CLARK SECURITIES, INC.
BD
CRD#: 43803
GREENSBORO, NC
Past
May 11, 2009 - September 28, 2011
SANDERS MORRIS LLC
BD
CRD#: 20580
HOUSTON, TX
Past
July 6, 2006 - March 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CHARLOTTE, NC
Past
December 21, 2005 - June 6, 2006
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
September 25, 2002 - October 3, 2003
NATIONWIDE FUND DISTRIBUTORS LLC
BD
CRD#: 25910
COLUMBUS, OH
Past
September 25, 2002 - December 21, 2005
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
Past
September 9, 2002 - June 2, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
April 11, 2000 - August 23, 2002
TOUCHSTONE SECURITIES, INC.
BD
CRD#: 1526
CINCINNATI, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WS
WESBANCO SECURITIES, INC.
COMMBANC INVESTMENTS, INC. | WESBANCO SECURITIES, INC.
CRD#: 43276 / SEC#: 801-119845, 8-50220
RIA
Registered Investment Advisory firm - SEC (12/8/2020 Approved)Indiana
Registered Investment Advisory firm - SEC (1/8/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (12/22/2020 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)West Virginia
Registered Investment Advisory firm - SEC (12/31/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
Indiana(11/30/2021)
RR
Kentucky(11/30/2021)
RR
Maryland(11/30/2021)
RR
Ohio(5/16/2019)
RR
Pennsylvania(5/16/2019)
RR
Virginia(11/30/2021)
RR
West Virginia(5/16/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 9/10/2012
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WS
WESBANCO SECURITIES, INC.
COMMBANC INVESTMENTS, INC. | WESBANCO SECURITIES, INC.
CRD#: 43276 / SEC#: 801-119845, 8-50220
RIA
Registered Investment Advisory firm - SEC (12/8/2020 Approved)Indiana
Registered Investment Advisory firm - SEC (1/8/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (12/22/2020 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)West Virginia
Registered Investment Advisory firm - SEC (12/31/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
135 West Main St, St Clairsville, OH 43950
Mailing Address
1 Bank Plaza, Wheeling, WV 26003
Phone number
(304) 905-7215
Established
Ohio since 10/03/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
100
SEC notice filing (25 States and Territories)
FINRA licenses (28 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESBANCO INC. | OWNER | |
| CONNER, JAMES LEROY | FINOP | 5339285 |
| GARDILL, JAMES C | COUNSEL | |
| JACKSON, JEFF | DIRECTOR | 7692472 |
| LOVE, SCOTT ALAN | DIRECTOR | 2854247 |
| LUZAR, JAY MICHAEL | DIRECTOR | |
| PERKINS, MICHAEL L | DIRECTOR | 7531438 |
| STAVSKY, LISA FINKELSTEIN | DIRECTOR - MANAGING DIRECTOR/PRESIDENT/CEO | 1749197 |
| WILSON, ROSE LYNN | CCO, MANAGING DIRECTOR OF COMPLIANCE & DIRECTOR | 4072715 |
| ZATTA, JAY | DIRECTOR | 7693273 |
Regulatory assets under management
| Total Number of Accounts | 850 |
| AUM (Assets Under Management) | $ 166,458,070 |
Disclosures
| Regulatory Event | 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.
