Robert M. Roth

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CRD#: 405612

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.

Robert Munson Roth was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1973. Robert had worked at 11 firms and has passed the Series 65, Series 63, Series 4, F04 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 27, 2004 - July 2, 2013

MWA FINANCIAL SERVICES INC.

RIA

CRD#: 112630

ROCK ISLAND, IL

Past

October 10, 2001 - July 2, 2013

MWA FINANCIAL SERVICES INC.

CRD#: 112630

ROCK ISLAND, IL

Past

May 26, 2000 - November 8, 2000

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

October 8, 1998 - June 29, 2000

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

September 23, 1993 - October 2, 1998

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

September 1, 1992 - December 31, 1992

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

October 22, 1990 - January 29, 1991

KATERSKY SECURITIES, INC.

CRD#: 13284

Past

March 28, 1990 - October 18, 1990

FIRST CAPITAL FUNDING, INCORPORATED

CRD#: 20889

Past

February 26, 1988 - November 2, 1988

PENSIONS PLUS, INC.

CRD#: 15677

Past

April 22, 1986 - March 1, 1988

CAL FED SECURITIES, INC.

CRD#: 15984

Past

December 12, 1979 - February 7, 1990

INTEGRATED RESOURCES MARKETING, INC.

CRD#: 6546

NEW YORK, NY

Past

March 1, 1973 - March 1, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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".

MWA FINANCIAL SERVICES INC.

MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.

CRD#: 112630 / SEC#: 801-107091, 8-53255

RIA

Registered Investment Advisory firm - SEC (1/4/2016 Approved)

Alabama

Registered Investment Advisory firm - SEC (4/11/2016 Terminated)

Arizona

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

California

Registered Investment Advisory firm - SEC (1/3/2010 Terminated)

Colorado

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Florida

Registered Investment Advisory firm - SEC (1/26/2016 Terminated)

Georgia

Registered Investment Advisory firm - SEC (2/12/2016 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/1/2011 Terminated)

Illinois

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

Indiana

Registered Investment Advisory firm - SEC (1/29/2016 Terminated)

Iowa

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Kansas

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (12/18/2013 Terminated)

Maine

Registered Investment Advisory firm - SEC (2/2/2016 Terminated)

Maryland

Registered Investment Advisory firm - SEC (12/31/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Michigan

Registered Investment Advisory firm - SEC (2/2/2016 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (12/13/2013 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (4/13/2016 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (12/12/2013 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (3/29/2016 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Virginia

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (1/21/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/13/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/24/1979

Uniform Securities Agent State Law Examination

Principal/Supervisory Exam

Series 4

Date: 1/19/1981

Registered Options Principal Examination

Principal/Supervisory Exam

F04

Date: 2/23/1973

Financial Principal Examination

Principal/Supervisory Exam

Series 00

Date: 2/23/1973

General Securities Principal Examination

Current Firm

MWA FINANCIAL SERVICES INC.

MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.

CRD#: 112630 / SEC#: 801-107091, 8-53255

RIA

Registered Investment Advisory firm - SEC (1/4/2016 Approved)

Alabama

Registered Investment Advisory firm - SEC (4/11/2016 Terminated)

Arizona

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

California

Registered Investment Advisory firm - SEC (1/3/2010 Terminated)

Colorado

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Florida

Registered Investment Advisory firm - SEC (1/26/2016 Terminated)

Georgia

Registered Investment Advisory firm - SEC (2/12/2016 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/1/2011 Terminated)

Illinois

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

Indiana

Registered Investment Advisory firm - SEC (1/29/2016 Terminated)

Iowa

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Kansas

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (12/18/2013 Terminated)

Maine

Registered Investment Advisory firm - SEC (2/2/2016 Terminated)

Maryland

Registered Investment Advisory firm - SEC (12/31/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Michigan

Registered Investment Advisory firm - SEC (2/2/2016 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (12/13/2013 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (4/13/2016 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (12/12/2013 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (3/29/2016 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Virginia

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (1/21/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1701 1st Avenue, Rock Island, IL 61201

Mailing Address

1701 1st Avenue, Rock Island, IL 61201

Phone number

(309) 558-3100

Established

Illinois since 02/02/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

674

SEC notice filing (48 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MWAFS FORM CRS 7-2021 (3/31/2025)

MWAFS MANAGED ACCOUNTS BROCHURE PART 2A APPENDIX 1_3-28-2025 (3/31/2025)

MWAFS FINANCIAL PLANNING BROCHURE ADV PART 2A 3/28/2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
MODERN WOODMEN OF AMERICA	PARENT CO.
BOHNERT, LESTER LEE	DIRECTOR	6933862
DOYLE, SHEA EUGENE	SECRETARY/DIRECTOR	4577202
EIGENBROD, NEIL THOMAS	FINOP	5615693
JENSEN, DAWN M	CHIEF OPERATIONS OFFICER	4936560
LYPHOUT, JERALD JAMES	DIRECTOR	4148959
POGEMILLER, CLINT JOSEPH	PRESIDENT/CHAIRMAN	2977743
RECH, KELLIE MARIE	CHIEF COMPLIANCE OFFICER	4863283
SIMMS, CHARLES EDMUND	DIRECTOR	2553306
SWANSON, TODD DAVID	TREASURER	4844282
VAN, BRETT MATTHEW	DIRECTOR	6543047

Regulatory assets under management

Total Number of Accounts	2,298
AUM (Assets Under Management)	$ 376,859,066

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Robert M. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MWA FINANCIAL SERVICES INC.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

AMERICAN GENERAL SECURITIES INCORPORATED

THRIVENT INVESTMENT MANAGEMENT INC.

FINANCIAL WEST GROUP

KATERSKY SECURITIES, INC.

FIRST CAPITAL FUNDING, INCORPORATED

PENSIONS PLUS, INC.

CAL FED SECURITIES, INC.

INTEGRATED RESOURCES MARKETING, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

MWA FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/13/1997

Series 63

Date: 8/24/1979

Series 4

Date: 1/19/1981

F04

Date: 2/23/1973

Series 00

Date: 2/23/1973

Current Firm

MWA FINANCIAL SERVICES INC.

Contact information

SEC notice filing (48 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MWA FINANCIAL SERVICES INC.

TRUST BUT VERIFY

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