DR
Duane M. Roth
RDA FINANCIAL NETWORK
O'FALLON, IL 62269
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CRD#: 4784123
DR
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.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.) RDA FINANCIAL NETWORK, INC. - INVESTMENT ADVISOR REPRESENTATIVE - ADVISORY BUSINESS - O'FALLON, IL - SINCE 03/2005 - INVESTMENT RELATED 2.) DUANE M. ROTH - OWNER - RENTAL PROPERTY - O'FALLON, IL - SINCE 05/2007 - INVESTMENT RELATED 3.) THE ROTH COMPANIES, INC. - FOUNDER, PRESIDENT & CEO - NON-VARIABLE INSURANCE - O'FALLON, IL - SINCE 05/2001 - INVESTMENT RELATED 4.) THE ROTH COMPANIES, INC. - FOUNDER/PRESIDENT & CEO - DBA NAME FOR MARKETING PURPOSES ONLY - O'FALLON, IL - SINCE 07/2004 - INVESTMENT RELATED 5.) DUANE M. ROTH / ROTH AGRIBUSINESS - MANAGER - FARMING AND AGRICULTURE - TRENTON, IL - SINCE 11/2017 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Duane M Roth's 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®
NoneExperience
Current
May 21, 2008 - Present
RDA FINANCIAL NETWORK
Office #1: 4925 Stone Falls, Suite A, O'fallon, IL 62269RIA
CRD#: 147309
O'FALLON, IL
Current
August 22, 2016 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 4925 Stone Falls Center Suite A, O'fallon, IL 62269Office #2: 3636 S. Geyer Road Suite 100, St Louis, MO 63127Office #3: 7500 College Blvd, Suite 150, Overland Park, KS 66210RIA
BD
CRD#: 20804
O'fallon, IL
Past
August 23, 2016 - October 26, 2016
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
Overland Park, KS
Past
July 18, 2007 - July 10, 2008
STONEFIELD INVESTMENT ADVISORY, INC.
RIA
CRD#: 113802
O'FALLON, IL
Past
July 16, 2007 - August 24, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
OFALLON, IL
Past
March 24, 2005 - August 7, 2007
NYLIFE SECURITIES LLC
BD
CRD#: 5167
O'FALLON, IL
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".
RF
RDA FINANCIAL NETWORK
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
CRD#: 147309 / SEC#: 801-69651
RIA
Registered Investment Advisory firm - (10/16/2008 Approved)Illinois
Registered Investment Advisory firm - (10/16/2008 Terminated)Iowa
Registered Investment Advisory firm - (5/18/2015 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2008 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/27/2022)
RR
Arizona(8/26/2016)
RR
Arkansas(8/22/2016)
RR
California(5/3/2017)
RR
Colorado(5/4/2017)
RR
Florida(8/22/2016)
RR
Georgia(4/12/2021)
IAR
Illinois(5/21/2008)
RR
Illinois(8/22/2016)
RR
Indiana(5/4/2017)
IAR
Kansas(12/13/2012)
RR
Kansas(8/22/2016)
RR
Kentucky(7/27/2017)
RR
Minnesota(7/28/2017)
RR
Mississippi(8/22/2016)
RR
Missouri(8/22/2016)
RR
Nebraska(4/7/2021)
IAR
Nebraska(2/26/2025)
RR
New Jersey(5/10/2017)
RR
New Mexico(4/6/2021)
RR
New York(11/10/2017)
RR
North Carolina(8/22/2016)
RR
North Dakota(7/25/2018)
RR
Ohio(11/13/2017)
RR
Oklahoma(5/4/2017)
RR
Oregon(5/14/2017)
RR
South Carolina(8/22/2016)
RR
Tennessee(8/31/2017)
RR
Texas(5/12/2017)
IAR
Texas(1/2/2018)
RR
Virginia(1/13/2022)
RR
Washington(8/17/2020)
RR
Wisconsin(4/6/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
RDA FINANCIAL NETWORK
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
CRD#: 147309 / SEC#: 801-69651
RIA
Registered Investment Advisory firm - (10/16/2008 Approved)Illinois
Registered Investment Advisory firm - (10/16/2008 Terminated)Iowa
Registered Investment Advisory firm - (5/18/2015 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2008 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
321 Reed Street Suite #2, Akron, IA 51001
Mailing Address
321 Reed Street Suite #2, Akron, IA 51001
Phone number
(888) 300-4975
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,347 |
| AUM (Assets Under Management) | $ 578,744,853 |
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.
Company Information
RDA FINANCIAL NETWORK
CRD#: 147309O'fallon, IL 62269TRUST BUT VERIFY
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