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SR

Stephanie A. Roth

CRD#: 5636965
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SR
Stephanie Anne 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.

Stephanie Anne Roth was a registered financial professional .

Stephanie is a previously registered financial professional and started their career in finance in 2011. Stephanie had 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"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 2, 2022 - June 9, 2026

CROWDSTREET CAPITAL LLC

BD
CRD#: 312762
Austin, TX
Past

October 21, 2021 - June 9, 2026

CROWDSTREET ADVISORS, LLC

RIA
CRD#: 299176
Dunedin, FL
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

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/13/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/1/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/29/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/2/2023
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/2/2023
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination

Current Firm

CC
CROWDSTREET CAPITAL LLC
CROWDSTREET CAPITAL LLC

CRD#: 312762 / SEC#: , 8-70724

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
10 East 40th Street Suite 1020, New York, NY 10016
Mailing Address
10 East 40th Street Suite 1020, New York, NY 10016
Phone number
(888) 432-7693
Established
Delaware since 04/03/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CROWDSTREET, INC.OWNER
BROWN, SCOTTFINOP6694802
HOWELL, KRISTEN LEIGHPRESIDENT
ROTH, STEPHANIE ANNECHIEF COMPLIANCE OFFICER5636965

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

CROWDSTREET CAPITAL LLC

CRD#: 312762

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