Anthony M. Roth

WILMINGTON TRUST INVESTMENT ADVISORS

WILMINGTON, DE 19801

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CRD#: 4149212

Professional summary

Anthony Michael Roth, who also goes by Anthony M Roth, Anthony Roth, is a registered financial advisor currently at WILMINGTON TRUST INVESTMENT ADVISORS, INC. located in Wilmington, Delaware.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Anthony has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony M Roth | Anthony Roth

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.

11/2014 MANUFACTURERS & TRADERS TRUST COMPANY ("M&T BANK"), ONE M&T PLAZA, BUFFALO, NY 14203; EMPLOYEE OF M&T BANK. THE MAJORITY OF HOURS ARE DEDICATED TO BANKING RELATED FUNCTIONS. 11/30/2016; WILMINGTON TRUST, N.A., ONE M&T PLAZA, BUFFALO, NY 14203; EMPLOYEE OF WILMINGTON TRUST, N.A. THE MAJORITY OF HOURS ARE DEDICATED TO BANKING RELATED FUNCTIONS).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Michael Roth's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 20, 2014 - Present

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

Office #1: 1100 North Market Street, Wilmington, DE 19801

RIA

CRD#: 106909

WILMINGTON, DE

Past

January 1, 2015 - June 9, 2021

M&T SECURITIES, INC.

CRD#: 17358

Radnor, PA

Past

August 18, 2008 - December 18, 2012

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

August 18, 2008 - December 18, 2012

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 19, 2006 - June 16, 2008

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NEW YORK, NY

Past

November 21, 2000 - June 16, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

April 14, 2000 - October 20, 2000

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

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".

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

ALLIED INVESTMENT ADVISORS INC | WILMINGTON TRUST INVESTMENT ADVISORS, INC. | WILMINGTON INVESTMENT MANAGEMENT | MTB INVESTMENT ADVISORS,INC. | MTB INVESTMENT ADVISORS, INC.

CRD#: 106909 / SEC#: 801-50883

RIA

Registered Investment Advisory firm - (12/27/1995 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Delaware
(11/20/2014)

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: 4/5/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/14/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/13/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/30/2009

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/19/2008

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 53

Date: 9/13/2006

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/12/2006

General Securities Principal Examination

Current Firm

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

ALLIED INVESTMENT ADVISORS INC | WILMINGTON TRUST INVESTMENT ADVISORS, INC. | WILMINGTON INVESTMENT MANAGEMENT | MTB INVESTMENT ADVISORS,INC. | MTB INVESTMENT ADVISORS, INC.

CRD#: 106909 / SEC#: 801-50883

RIA

Registered Investment Advisory firm - (12/27/1995 Approved)

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Contact information

Main Address

Wilmington Trust Center 1100 North Market Street, Wilmington, DE 19890-0001

Mailing Address

Phone number

(212) 965-5938

Established

Firm type

Fiscal year end

# of Employees

126

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WTIA FORM ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	3,540
AUM (Assets Under Management)	$ 17,432,390,316

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
10/28/2024	Cover Page	Report
09/08/2023	Cover Page	Report
10/21/2022	Cover Page	Report

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

Anthony M. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Michael Roth's CRS (Customer Relationship Summary).

Certified licenses

Experience

M&T SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

SANFORD C. BERNSTEIN & CO., INC.

Primary Firm SEC Registration

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/5/2006

Series 63

Date: 3/14/2001

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/13/2000

Series 10

Date: 1/30/2009

Series 9

Date: 11/19/2008

Series 53

Date: 9/13/2006

Series 24

Date: 5/12/2006

Current Firm

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

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