Howard H. 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.
Howard Harvey Roth was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1970. Howard had worked at 7 firms and has passed the Series 63, SIE, Series 55 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2008 - April 24, 2017
DAWSON JAMES SECURITIES, INC.
August 6, 2002 - February 7, 2008
CAPITAL GROWTH FINANCIAL, LLC
September 28, 1978 - July 24, 2002
WERBEL-ROTH SECURITIES, INC.
June 29, 1976 - October 17, 1978
PRESCOTT, BALL & TURBEN
November 23, 1973 - July 9, 1976
BRUNS, NORDEMAN, REA & CO.
August 2, 1972 - April 1, 1982
BRUNS NORDEMAN SECURITIES CORPORATION
January 15, 1970 - November 23, 1973
BRUNS, NORDEMAN & CO.
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
Series 55
Date: 3/30/2000
Limited Representative-Equity Trader ExamSeries 40
Date: 1/12/1970
Registered Principal ExaminationCurrent Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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