James E. 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.
James Edward Roth, who also goes by Jiggs Roth, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 19 firms and has passed the Series 63, SIE, Series 55 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2006 - December 7, 2015
SPENCER EDWARDS, INC.
March 24, 2005 - June 28, 2006
J.P. TURNER & COMPANY, L.L.C.
September 7, 2001 - March 28, 2005
KASHNER DAVIDSON SECURITIES CORPORATION
September 22, 1998 - June 7, 2001
D.L. CROMWELL INVESTMENTS, INC.
January 8, 1997 - September 25, 1998
LUMIERE SECURITIES, INC.
July 13, 1994 - March 15, 1996
PARAMOUNT INVESTMENTS INTERNATIONAL, INC.
April 4, 1994 - July 14, 1994
GAINEY FINANCIAL SERVICES, INC.
October 23, 1991 - April 6, 1994
SMITH, BENTON & HUGHES, INC.
June 5, 1990 - November 15, 1990
TAMARON INVESTMENTS, INC.
May 22, 1990 - June 12, 1990
BISHOP SECURITIES, INC.
February 1, 1990 - April 30, 1990
THE OXFORD GROUP, INC.
February 13, 1989 - May 24, 1990
CENTURY FINANCIAL SECURITIES, INC.
August 19, 1988 - December 20, 1988
STATE STREET SECURITIES, INC.
September 25, 1987 - August 16, 1988
CHELSEA SECURITIES, INC.
November 10, 1986 - September 2, 1987
MARSHALL DAVIS, INC.
May 14, 1985 - November 25, 1986
POWER SECURITIES CORPORATION
June 8, 1983 - May 14, 1985
R.B. MARICH, INC.
April 1, 1982 - June 7, 1983
WALL STREET WEST, INC.
November 4, 1981 - August 20, 1986
SECURITY TRADERS, 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
Series 55
Date: 1/14/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 5/16/1958
Registered Representative ExaminationCurrent Firm
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
Red Flags
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