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TR

Toni Roth

LINCOLN FINANCIAL DISTRIBUTORS
Radnor, PA 19087
Some features on this profile are disabled
CRD#: 5767175
TR

Professional summary

Toni Roth, who also goes by Toni Rae Roth, is a registered financial professional currently at LINCOLN FINANCIAL DISTRIBUTORS, INC. located in Radnor, Pennsylvania.

Toni is registered as a RR (Registered Representative) and started their career in finance in 2013. Toni has worked at 3 firms and has passed the SIE, Series 7, Series 99 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Toni Rae Roth

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) - BD

Click below to view Toni 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®
None

Experience

Current

May 11, 2023 - Present

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Office #1: 130 N Radnor-chester Rd, Radnor, PA 19087
BD
CRD#: 145
Radnor, PA
Past

April 19, 2021 - August 25, 2021

NYLIFE SECURITIES LLC

BD
CRD#: 5167
HIAWATHA, IA
Past

August 7, 2017 - April 24, 2019

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
FAIRFIELD, IA
Past

July 25, 2013 - January 5, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
FAIRFIELD, IA

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99
Date: 7/25/2013
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/29/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LINCOLN FINANCIAL DISTRIBUTORS, INC.
LINCOLN FINANCIAL DISTRIBUTORS, INC.
CG EQUITY SALES COMPANY | SAGEMARK CONSULTING, INC. | LINCOLN FINANCIAL DISTRIBUTORS, INC. | CIGNA SECURITIES, INC. | CIGNA FINANCIAL ADVISORS,INC.

CRD#: 145 / SEC#: , 8-13431

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

Main Address
130 N Radnor-chester Rd, Radnor, PA 19087
Mailing Address
130 N Radnor-chester Rd, Radnor, PA 19087
Phone number
(484) 583-6000
Established
Connecticut since 08/03/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THE LINCOLN NATIONAL LIFE INSURANCE COMPANYSHAREHOLDER
CHRYSSIKOS, PAUL TELEMACSENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER7263748
FALLER, DANIEL TSENIOR VICE PRESIDENT, HEAD OF LFD FINANCE6006570
GIBSON, JASON MICHAELVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, DISTRIBUTION3081880
KENNEDY, JOHN CHRISTOPHERPRESIDENT AND CHIEF EXECUTIVE OFFICER2213083
NEPA, JARED M.SVP, HEAD OF LIFE & MONEYGUARD DISTRIBUTION5157819
OMORUYI, MEGAN VOGTAVP, FINANCIAL AND OPERATIONS PRINCIPAL7803022
SEIFERT, TIMOTHY JOHNSENIOR VICE PRESIDENT, HEAD OF RS DISTRIBUTION1577571
SMITH, NANCYSECRETARY6140078

Disclosures

Regulatory Event3

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

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145Radnor, PA 19087

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