Charles A. 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 Andrew Roth was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 11 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2007 - April 15, 2009
CANTELLA & CO., INC.
June 16, 1996 - October 31, 2007
MONTAG & JOSELSON
June 3, 1993 - April 24, 1996
MONTAG & JOSELSON
August 4, 1987 - December 31, 1993
SCHNEIDER SECURITIES, INC.
November 5, 1986 - July 14, 1987
J. B. STERLING CORP. (INVESTMENT SECURITIES)
February 27, 1984 - November 14, 1986
R.B. MARICH, INC.
February 5, 1982 - March 22, 1984
WALFORD, DEMARET & CO., INC.
May 24, 1979 - December 20, 1981
AMERICAN WESTERN SECURITIES, INC.
April 21, 1977 - May 11, 1979
B. J. LEONARD AND COMPANY, INC.
July 16, 1976 - May 23, 1977
J. IMHOFF-NIMMO & CO.
June 26, 1973 - March 2, 1975
PHILLIPS CAPITAL
February 26, 1970 - August 12, 1976
LEORNED & CO INC
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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
