Jonathan R. 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.
Jonathan Robert Roth was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2007. Jonathan had worked at 4 firms and has passed the Series 63, Series 82TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2019 - February 5, 2021
DAK CAPITAL, LLC
January 17, 2014 - April 10, 2015
ALANTRA, LLC
April 30, 2010 - May 29, 2012
CHINA ECAPITAL PARTNERS, LLC
June 5, 2007 - April 7, 2010
CASCADIA CAPITAL, LLC
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
Series 82TO
Date: 11/8/2022
Limited Representative-Private Securities OfferingsCurrent Firm
DAK CAPITAL, LLC
CRD#: 145887 / SEC#: , 8-67764
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHARFSTEIN, ALAN J | PRESIDENT,CCO,AMLCO | |
| GEORGE, KENNETH RONALD | FINOP | 2643369 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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