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DR

Daniel J. Roth

THE FORBES SECURITIES GROUP LLC
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 6092041
DR

Professional summary

Daniel John Roth is a registered financial professional currently at THE FORBES SECURITIES GROUP LLC located in Greenwood Village, Colorado.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2012. Daniel has worked at 3 firms and has passed the Series 63, SIE, Series 82 and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Daniel John 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

August 13, 2020 - Present

THE FORBES SECURITIES GROUP LLC

Office #1: 6400 S. Fiddlers Green Circle Suite 850, Greenwood Village, CO 80111
BD
CRD#: 288142
Greenwood Village, CO
Past

April 2, 2020 - July 31, 2020

CEIBA FINANCIAL, LLC

BD
CRD#: 298977
Denver, CO
Past

July 20, 2012 - April 3, 2020

STILLPOINT CAPITAL, LLC

BD
CRD#: 133146
TAMPA, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
California
(4/18/2022)
RR
Colorado
(8/13/2020)
RR
Florida
(11/5/2024)
RR
Utah
(1/10/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 1/22/2016
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79
Date: 7/19/2012
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TF
THE FORBES SECURITIES GROUP LLC
FORBES PARTNERS | THE FORBES SECURITIES GROUP LLC

CRD#: 288142 / SEC#: , 8-69926

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
6400 S. Fiddlers Green Circle Suite 850, Greenwood Village, CO 80111
Mailing Address
6400 S. Fiddlers Green Circle Suite 850, Greenwood Village, CO 80111
Phone number
(303) 770-6017
Established
Colorado since 02/01/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORBES, ROBERT ALANPRESIDENT5765628
FORBES, SHARLEENOWNER
CARTER, ANA ROUMENOVAFINOP/PFO/POO4424794
WILEY, JONATHON DAVIDCHIEF COMPLIANCE OFFICER2524793

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

THE FORBES SECURITIES GROUP LLC

CRD#: 288142Greenwood Village, CO 80111

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