John F. 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.
John Francis Roth was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2010. John had worked at 7 firms and has passed the Series 63, 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
May 14, 2018 - January 18, 2021
DALMORE GROUP LLC
May 28, 2016 - June 12, 2018
HB SECURITIES, LLC
December 10, 2013 - June 2, 2016
VCS VENTURE SECURITIES
July 8, 2013 - December 9, 2013
INTERNATIONAL ASSETS ADVISORY, LLC
June 27, 2012 - May 13, 2013
LCG CAPITAL ADVISORS, LLC
February 15, 2011 - June 15, 2012
BEDMINSTER FINANCIAL GROUP, LIMITED
October 28, 2010 - February 14, 2011
BURCH & COMPANY, INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DALMORE GROUP LLC
CRD#: 136352 / SEC#: , 8-67002
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
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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