Michael Joseph Carl Roth
Professional Summary
Michael Joseph Carl Roth, who also goes by Michael J C Roth, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1970 - 2015. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 1 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael J C Roth
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
56 years in the financial services industry
Current & Past Employments
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Current Firm
INTERCONTINENTAL CONSULTANTS, L.L.C. | INTERCONTINENTAL WEALTH ADVISORS, LLC
Contact Information
Main Address
112 East Pecan Street, Suite 525, San Antonio, TX 78205-3729Phone Number
(210) 271-7947# of Employees
23Documents
Regulatory Assets Under Management
Total Number of Accounts
1,679AUM (Assets Under Management)
$1,537,635,933Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2022 | Cover Page | Report |
| 01/12/2022 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1980About the Series 6 examSeries 1 — Registered Representative Examination
Passed Sep 1970Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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