Andrew C. Roth

SEI INVESTMENTS MANAGEMENT CORP

Edina, MN 55435

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CRD#: 5984589

Professional summary

Andrew Charles Roth, who also goes by Andy Roth, is a registered financial advisor currently at SEI INVESTMENTS MANAGEMENT CORP located in Edina, Minnesota and SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Andrew has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andy 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) - RIA

Click below to view Andrew Charles Roth's CRS (Customer Relationship Summary).

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

June 1, 2022 - Present

SEI INVESTMENTS MANAGEMENT CORP

Office #1: 4951 W 77th St Office #123, Edina, MN 55435

RIA

CRD#: 105146

Edina, MN

Current

June 1, 2022 - Present

SEI INVESTMENTS DISTRIBUTION CO.

Office #1: One Freedom Valley Drive, Oaks, PA 19456

CRD#: 10690

Oaks, PA

Past

June 27, 2019 - May 4, 2022

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

OAKDALE, MN

Past

June 20, 2019 - May 4, 2022

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

OAKDALE, MN

Past

January 30, 2012 - March 5, 2019

SEI INVESTMENTS MANAGEMENT CORP

RIA

CRD#: 105146

Edina, MN

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".

SEI INVESTMENTS MANAGEMENT CORP

CRD#: 105146 / SEC#: 801-24593

RIA

Registered Investment Advisory firm - (6/27/1985 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.

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

Minnesota
(6/1/2022)

IAR

Minnesota
(6/1/2022)

Pennsylvania
(6/1/2022)

IAR

Pennsylvania
(6/2/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/10/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/28/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/20/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/28/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

SEI INVESTMENTS MANAGEMENT CORP

CRD#: 105146 / SEC#: 801-24593

RIA

Registered Investment Advisory firm - (6/27/1985 Approved)

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Contact information

Main Address

One Freedom Valley Drive, Oaks, PA 19456

Mailing Address

Phone number

(610) 676-1000

Established

Firm type

Fiscal year end

# of Employees

447

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIMC FORM ADV PART 2A - INDEPENDENT ADVISOR SOLUTIONS BY SEI (8/15/2025)

SIMC FORM ADV PART 2A - SEI PRIVATE BANKING (3/31/2025)

SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (INDEPENDENT ADVISOR SOLUTIONS BY SEI) (3/31/2025)

SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (PRIVATE WEALTH MANAGEMENT) (3/31/2025)

SIMC FORM ADV PART 2A - SEI INSTITUTIONAL GROUP (3/31/2025)

SIMC FORM ADV PART 2A - SEI PRIVATE WEALTH MANAGEMENT (3/31/2025)

Regulatory assets under management

Total Number of Accounts	99,603
AUM (Assets Under Management)	$ 198,143,431,156

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/25/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Andrew C. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Charles Roth's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEI INVESTMENTS DISTRIBUTION CO.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SEI INVESTMENTS MANAGEMENT CORP

Primary Firm SEC Registration

SEI INVESTMENTS MANAGEMENT CORP

State Registrations and Notice Filings

Exams

Series 63

Date: 10/10/2019

Series 65

Date: 1/28/2012

Series 7TO

Date: 6/20/2019

SIE

Date: 3/28/2019

FINRA

Current Firm

SEI INVESTMENTS MANAGEMENT CORP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SEI INVESTMENTS MANAGEMENT CORP

TRUST BUT VERIFY

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