Brian R. Roth

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CRD#: 4607595

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.

Brian Robert Roth was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2003. Brian had worked at 14 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 31, Series 7 and Series 24 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.

Eagle Rock Capital Partners (DBA): - 37 N. Gate Rd. Mendham, NJ 07945. Owner - pay expenses related to RR activties at current firm.

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 20, 2019 - May 3, 2023

NFSG CORPORATION

RIA

CRD#: 130814

MORRISTOWN, NJ

Past

December 19, 2018 - May 3, 2023

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

MORRISTOWN, NJ

Past

October 17, 2018 - December 18, 2018

AEON CAPITAL INC

CRD#: 164004

NEW YORK, NY

Past

July 26, 2018 - October 23, 2018

THE BENCHMARK COMPANY, LLC

CRD#: 22982

NEW YORK, NY

Past

April 10, 2018 - August 22, 2018

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144426

MENDHAM, NJ

Past

June 4, 2013 - August 22, 2018

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

MENDHAM, NJ

Past

September 11, 2009 - June 5, 2013

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, NY

Past

March 27, 2009 - September 25, 2009

SIERRA EQUITY GROUP LLC

CRD#: 36518

REDBANK, NJ

Past

November 28, 2008 - March 31, 2009

RUSHMORE CAPITAL, INC.

CRD#: 5940

NEW YORK, NY

Past

March 16, 2006 - December 10, 2008

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

NEW YORK, NY

Past

March 16, 2006 - December 10, 2008

GUNNALLEN FINANCIAL, INC

CRD#: 17609

NEW YORK, NY

Past

November 9, 2005 - March 15, 2006

S.W. BACH & COMPANY

RIA

CRD#: 43522

NEW YORK, NY

Past

October 3, 2005 - March 15, 2006

S.W. BACH & COMPANY

CRD#: 43522

NEW YORK, NY

Past

March 10, 2005 - October 3, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

February 18, 2004 - February 24, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 7, 2003 - February 2, 2004

SANDS BROTHERS & CO., LTD.

CRD#: 26816

NEW YORK, NY

Past

February 28, 2003 - April 29, 2003

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, 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".

NFSG CORPORATION

NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.

CRD#: 130814 / SEC#: 801-68448

RIA

Registered Investment Advisory firm - (11/6/2007 Approved)

Arizona

Registered Investment Advisory firm - (11/8/2007 Terminated)

California

Registered Investment Advisory firm - (11/8/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (11/8/2007 Terminated)

Florida

Registered Investment Advisory firm - (12/12/2007 Terminated)

Illinois

Registered Investment Advisory firm - (11/6/2007 Terminated)

Indiana

Registered Investment Advisory firm - (11/8/2007 Terminated)

Nevada

Registered Investment Advisory firm - (12/17/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (11/14/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (11/8/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/13/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (12/8/2007 Terminated)

Texas

Registered Investment Advisory firm - (11/8/2007 Terminated)

Virginia

Registered Investment Advisory firm - (11/8/2007 Terminated)

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: 4/6/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/2/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/26/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/2/2009

General Securities Principal Examination

Current Firm

NFSG CORPORATION

NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.

CRD#: 130814 / SEC#: 801-68448

RIA

Registered Investment Advisory firm - (11/6/2007 Approved)

Arizona

Registered Investment Advisory firm - (11/8/2007 Terminated)

California

Registered Investment Advisory firm - (11/8/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (11/8/2007 Terminated)

Florida

Registered Investment Advisory firm - (12/12/2007 Terminated)

Illinois

Registered Investment Advisory firm - (11/6/2007 Terminated)

Indiana

Registered Investment Advisory firm - (11/8/2007 Terminated)

Nevada

Registered Investment Advisory firm - (12/17/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (11/14/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (11/8/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/13/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (12/8/2007 Terminated)

Texas

Registered Investment Advisory firm - (11/8/2007 Terminated)

Virginia

Registered Investment Advisory firm - (11/8/2007 Terminated)

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Contact information

Main Address

1200 North Federal Highway Suite 400, Boca Raton, FL 33432

Mailing Address

Phone number

(954) 334-3450

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (4/30/2025)

NFSG WRAP FEE PROGRAM BROCHURE (4/30/2025)

Regulatory assets under management

Total Number of Accounts	3,587
AUM (Assets Under Management)	$ 813,494,847

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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian R. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEWBRIDGE SECURITIES CORPORATION

AEON CAPITAL INC

THE BENCHMARK COMPANY, LLC

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

JOHN THOMAS FINANCIAL

SIERRA EQUITY GROUP LLC

RUSHMORE CAPITAL, INC.

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

S.W. BACH & COMPANY

S.W. BACH & COMPANY

GUNNALLEN FINANCIAL, INC

MORGAN STANLEY DW INC.

SANDS BROTHERS & CO., LTD.

JOSEPH STEVENS & CO., INC.

Primary Firm SEC Registration

NFSG CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 4/6/2018

Series 63

Date: 3/10/2003

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 4/2/2004

Series 7

Date: 2/26/2003

Series 24

Date: 7/2/2009

Current Firm

NFSG CORPORATION

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NFSG CORPORATION

TRUST BUT VERIFY

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