Ashley A. Roth

ARROWHEAD INVESTMENT ADVISORS

Seneca, SC

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CRD#: 6003968

Professional summary

Ashley Anne Roth is a registered financial advisor currently at ARROWHEAD INVESTMENT ADVISORS, LLC located in Seneca, South Carolina.

Ashley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Ashley has worked at 2 firms and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashley 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®

None

Experience

Current

June 12, 2013 - Present

ARROWHEAD INVESTMENT ADVISORS, LLC

RIA

CRD#: 167964

Seneca, SC

Past

December 22, 2011 - October 12, 2013

ARROWHEAD INVESTMENT ADVISORS

RIA

CRD#: 121077

NEWPORT BEACH, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(6/12/2013)

IAR

Georgia
(1/23/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/8/2011

Uniform Investment Adviser Law Examination

Current Firm

ARROWHEAD INVESTMENT ADVISORS, LLC

ARROWHEAD INVESTMENT ADVISORS | ROTH, ASHLEY ANNE | ARROWHEAD INVESTMENT ADVISORS, LLC

CRD#: 167964 / SEC#:

California

Registered Investment Advisory firm - (6/11/2013 Approved)

Georgia

Registered Investment Advisory firm - (1/23/2025 Approved)

North Carolina

Registered Investment Advisory firm - (12/31/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (9/18/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Milton, GA

Mailing Address

Phone number

(770) 750-4914

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 43,104,863

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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Ashley A. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashley Anne Roth's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARROWHEAD INVESTMENT ADVISORS, LLC

ARROWHEAD INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/8/2011

Current Firm

ARROWHEAD INVESTMENT ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARROWHEAD INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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