SR
Stephanie A. Roth
CROWDSTREET ADVISORS
Dunedin, FL
Some features on this profile are disabled
CRD#: 5636965
SR
Professional summary
Stephanie Anne Roth is a registered financial advisor currently at CROWDSTREET ADVISORS, LLC located in Dunedin, Florida and CROWDSTREET CAPITAL LLC located in Austin, Texas.
Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Stephanie has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 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.
CrowdStreet Advisors LLC, investment related, 98 San Jacinto Blvd., Floor 4, Austin TX 78701, CCO, 08/2021-Present, compliance supervision. CrowdStreet Inc. which is the parent company of CrowdStreet Capital (broker-dealer) and CrowdStreet Advisors (investment advisory). 08/2021-Present. Austin, TX.
CRS (Client Relationship Summary) - RIA
Click below to view Stephanie Anne 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
October 21, 2021 - Present
CROWDSTREET ADVISORS, LLC
RIA
CRD#: 299176
Dunedin, FL
Current
May 2, 2022 - Present
CROWDSTREET CAPITAL LLC
Office #1: 98 San Jacinto Blvd Suite 400, Austin, TX 78701Office #2: 10 East 40th Street Suite 1020, New York, NY 10016BD
CRD#: 312762
Austin, TX
Past
November 1, 2018 - August 12, 2021
EDELMAN FINANCIAL ENGINES
RIA
CRD#: 104510
FAIRFAX, VA
Past
April 22, 2016 - October 15, 2019
RETIREONE INVESTMENT SERVICES, LLC
BD
CRD#: 269923
FAIRFAX, VA
Past
June 4, 2015 - November 1, 2018
EDELMAN FINANCIAL SERVICES, LLC
RIA
CRD#: 113299
FAIRFAX, VA
Past
September 8, 2014 - April 22, 2016
SANDERS MORRIS LLC
BD
CRD#: 20580
FAIRFAX, VA
Past
October 22, 2012 - August 27, 2014
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
Past
August 8, 2012 - October 30, 2012
IAA FINANCIAL LLC
BD
CRD#: 6578
FORT LAUDERDALE, FL
Past
August 1, 2011 - August 9, 2012
EKN FINANCIAL SERVICES INC.
BD
CRD#: 113525
FT. LAUDERDALE, FL
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".
CA
CROWDSTREET ADVISORS, LLC
CROWDSTREET ADVISORS, LLC
CRD#: 299176 / SEC#: 801-114281
RIA
Registered Investment Advisory firm - (11/15/2018 Approved)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(3/13/2025)
RR
Alaska(3/13/2025)
RR
Arizona(6/20/2022)
RR
Arkansas(10/14/2022)
RR
California(3/13/2025)
RR
Colorado(3/13/2025)
RR
Connecticut(6/17/2022)
RR
Delaware(3/13/2025)
RR
District of Columbia(9/29/2022)
RR
Florida(8/19/2022)
RR
Georgia(3/13/2025)
RR
Hawaii(3/13/2025)
RR
Idaho(3/13/2025)
RR
Illinois(3/14/2025)
RR
Indiana(3/13/2025)
RR
Iowa(5/24/2022)
RR
Kansas(3/13/2025)
RR
Kentucky(3/13/2025)
RR
Louisiana(3/13/2025)
RR
Maine(6/17/2022)
RR
Maryland(5/31/2022)
RR
Massachusetts(3/13/2025)
RR
Michigan(5/24/2022)
RR
Minnesota(3/13/2025)
RR
Mississippi(3/13/2025)
RR
Missouri(3/13/2025)
RR
Montana(5/24/2022)
RR
Nebraska(3/13/2025)
RR
Nevada(3/13/2025)
RR
New Hampshire(3/13/2025)
RR
New Jersey(3/13/2025)
RR
New Mexico(3/13/2025)
RR
New York(3/13/2025)
RR
North Carolina(3/13/2025)
RR
North Dakota(3/13/2025)
RR
Ohio(5/4/2022)
RR
Oklahoma(3/13/2025)
RR
Oregon(3/13/2025)
RR
Pennsylvania(3/13/2025)
RR
Rhode Island(3/13/2025)
RR
South Carolina(3/13/2025)
RR
South Dakota(3/13/2025)
RR
Tennessee(3/13/2025)
IAR
Texas(10/21/2021)
RR
Texas(6/15/2022)
RR
Utah(5/3/2022)
RR
Vermont(3/13/2025)
RR
Virginia(3/13/2025)
RR
Washington(3/13/2025)
RR
West Virginia(3/13/2025)
RR
Wisconsin(3/13/2025)
RR
Wyoming(3/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CROWDSTREET ADVISORS, LLC
CROWDSTREET ADVISORS, LLC
CRD#: 299176 / SEC#: 801-114281
RIA
Registered Investment Advisory firm - (11/15/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
98 San Jacinto Boulevard Suite 400, Austin, TX 78701
Mailing Address
Phone number
(888) 432-7693
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 244,003,089 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/05/2025 | ||
| 06/14/2024 |
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.
