Duane M Roth
Professional Summary
Duane M Roth is a registered financial advisor currently at RDA FINANCIAL NETWORK located in O'fallon, Illinois and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in O'fallon, Illinois. Duane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Duane has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
ADVANCED FINANCIAL CONCEPTS | YANTIS AND ASSOCIATES FINANCIAL ADVISORS | THE ROTH COMPANIES, INC. | RYAN FINANCIAL NETWORK | RDA FINANCIAL NETWORK, INC. | RDA FINANCIAL NETWORK | MONETARY STRATEGIES | MIMS FINANCIAL SERVICES | LUCASIAN WEALTH MANAGEMENT | LEGACY FINANCIAL LLC | LANE FAMILY WEALTH MANAGEMENT | INTERACTIVE FINANCIAL SERVICES | BOBB FINANCIAL | ASCENT ADVISORY SOLUTIONS
Contact Information
Main Address
321 Reed Street Suite #2, Akron, IA 51001Mailing Address
321 Reed Street Suite #2, Akron, IA 51001Phone Number
(888) 300-4975# of Employees
17SEC notice filing (42 States and Territories)
Registered to provide investment advisory services in 42 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,522AUM (Assets Under Management)
$675,162,330Similar Advisors
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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.
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Primary Firm SEC Registration
ADVANCED FINANCIAL CONCEPTS | YANTIS AND ASSOCIATES FINANCIAL ADVISORS | THE ROTH COMPANIES, INC. | RYAN FINANCIAL NETWORK | RDA FINANCIAL NETWORK, INC. | RDA FINANCIAL NETWORK | MONETARY STRATEGIES | MIMS FINANCIAL SERVICES | LUCASIAN WEALTH MANAGEMENT | LEGACY FINANCIAL LLC | LANE FAMILY WEALTH MANAGEMENT | INTERACTIVE FINANCIAL SERVICES | BOBB FINANCIAL | ASCENT ADVISORY SOLUTIONS
State Registrations and Notice Filings
(7/27/2022)
(8/26/2016)
(8/22/2016)
(5/3/2017)
(5/4/2017)
(8/22/2016)
(4/12/2021)
(7/15/2026)
(5/21/2008)
(8/22/2016)
(5/4/2017)
(9/30/2026)
(12/13/2012)
(8/22/2016)
(7/27/2017)
(7/28/2017)
(8/22/2016)
(8/22/2016)
(4/7/2021)
(2/26/2025)
(5/10/2017)
(4/6/2021)
(11/10/2017)
(8/22/2016)
(7/25/2018)
(11/13/2017)
(5/4/2017)
(5/14/2017)
(9/30/2026)
(8/22/2016)
(8/31/2017)
(5/12/2017)
(1/2/2018)
(7/16/2026)
(1/13/2022)
(8/17/2020)
(4/6/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Duane M Roth's CRS (Customer Relationship Summary).
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