Barry S. 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.
Barry Steven Roth, who also goes by Barry Roth, was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 2008. Barry had worked at 4 firms and has passed the Series 66 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 28, 2012 - July 10, 2014
LANIER ASSET MANAGEMENT, LLC
April 24, 2012 - June 17, 2014
APW CAPITAL, INC.
May 9, 2011 - March 5, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 9, 2011 - March 5, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 7, 2008 - April 28, 2011
UBS FINANCIAL SERVICES INC.
February 4, 2008 - April 28, 2011
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
LANIER ASSET MANAGEMENT, LLC
CRD#: 150888 / SEC#: 801-107331
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
LANIER ASSET MANAGEMENT, LLC
CRD#: 150888 / SEC#: 801-107331
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 225 |
| AUM (Assets Under Management) | $ 147,383,194 |
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.
