Eric J. Roth
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.
Eric John Roth was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2005. Eric had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2008 - August 2, 2018
LAZARD MIDDLE MARKET LLC
December 10, 2007 - July 23, 2008
LAZARD FRERES & CO. LLC
January 20, 2005 - July 23, 2008
GOLDSMITH, AGIO, HELMS SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LAZARD MIDDLE MARKET LLC
CRD#: 146092 / SEC#: , 8-67786
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
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.
