Steven R. 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.
Steven Richard Roth, CFP®, who also goes by Steven R Roth, Steven Roth, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1981. Steven had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 2, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1986
Experience
September 1, 2005 - May 23, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 1, 2005 - May 23, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 25, 2005 - September 1, 2005
WALNUT STREET SECURITIES, INC.
August 1, 2003 - September 1, 2005
WALNUT STREET SECURITIES, INC.
June 2, 1999 - January 28, 2003
NATHAN & LEWIS SECURITIES, INC.
June 2, 1999 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
December 8, 1994 - June 7, 1999
NORTH RIDGE SECURITIES CORP.
July 24, 1986 - December 14, 1994
TIMECAPITAL SECURITIES CORPORATION
June 19, 1983 - October 14, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
March 2, 1983 - July 1, 1986
CARDELL & ASSOCIATES, INCORPORATED
January 14, 1981 - July 13, 1984
OLDFIELD MARKETING GROUP LTD.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 2
Date: 5/3/1973
Non-Member General Securities ExaminationSeries 1
Date: 5/3/1973
Registered Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
