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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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AR

Ashley A. Roth

ARROWHEAD INVESTMENT ADVISORS
Seneca, SC
Some features on this profile are disabled
CRD#: 6003968
AR

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)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/8/2011
Uniform Investment Adviser Law Examination

Current Firm

AI
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Milton, GA
Mailing Address
Phone number
(770) 750-4914
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts65
AUM (Assets Under Management)$ 50,016,032

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

ARROWHEAD INVESTMENT ADVISORS, LLC

CRD#: 167964Seneca, SC

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