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SR

Stacey L. Roth

SKYWAY CAPITAL MARKETS
Tampa, FL 33602
Some features on this profile are disabled
CRD#: 6149186
SR

Professional summary

Stacey Lynn Roth, who also goes by Stacey Lynn Roth, is a registered financial professional currently at SKYWAY CAPITAL MARKETS, LLC located in Tampa, Florida.

Stacey is registered as a RR (Registered Representative) and started their career in finance in 2013. Stacey has worked at 15 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stacey Lynn 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) - BD

Click below to view Stacey Lynn 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

July 16, 2024 - Present

SKYWAY CAPITAL MARKETS, LLC

Office #1: 100 North Tampa Street Suite 3550, Tampa, FL 33602
BD
CRD#: 124630
Tampa, FL
Past

June 10, 2024 - March 4, 2025

COBALT CAPITAL, INC.

BD
CRD#: 136161
LAKE MARY, FL
Past

May 9, 2023 - June 3, 2024

CRESCENT SECURITIES GROUP, INC.

BD
CRD#: 114993
PLANO, TX
Past

January 4, 2023 - April 24, 2023

COBALT CAPITAL, INC.

BD
CRD#: 136161
LAKE MARY, FL
Past

March 10, 2021 - January 10, 2023

THE M & A GROUP LLC

BD
CRD#: 144909
SARASOTA, FL
Past

December 16, 2020 - February 12, 2021

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

January 14, 2019 - December 11, 2020

CALTON & ASSOCIATES, INC.

RIA
CRD#: 20999
Nashville, TN
Past

January 7, 2019 - December 11, 2020

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
TAMPA, FL
Past

January 26, 2017 - March 8, 2017

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EL SEGUNDO, CA
Past

January 26, 2017 - March 8, 2017

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
EL SEGUNDO, CA
Past

January 26, 2017 - March 8, 2017

GIRARD SECURITIES, INC.

BD
CRD#: 18697
EL SEGUNDO, CA
Past

January 26, 2017 - March 8, 2017

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
El Segundo, CA
Past

January 26, 2017 - March 8, 2017

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
EL SEGUNDO, CA
Past

January 26, 2017 - March 8, 2017

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
EL SEGUNDO, CA
Past

January 26, 2017 - March 8, 2017

CETERA ADVISORS LLC

BD
CRD#: 10299
EL SEGUNDO, CA
Past

January 26, 2017 - March 8, 2017

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

February 8, 2016 - May 10, 2016

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
WEST HOLLYWOOD,, CA
Past

February 8, 2016 - May 10, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
WEST HOLLYWOOD,, CA
Past

May 20, 2014 - December 22, 2015

MORGAN STANLEY

RIA
CRD#: 149777
LOS ANGELES, CA
Past

May 20, 2014 - December 22, 2015

MORGAN STANLEY

BD
CRD#: 149777
LOS ANGELES, CA
Past

April 14, 2014 - May 27, 2014

CALTON & ASSOCIATES, INC.

RIA
CRD#: 20999
LOS ANGELES, CA
Past

April 18, 2013 - May 27, 2014

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
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
Florida
(7/16/2024)
RR
Tennessee
(7/16/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/27/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/31/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/8/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/17/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SKYWAY CAPITAL MARKETS, LLC
SKYWAY ADVISORS, LLC | SKYWAY CAPITAL MARKETS, LLC

CRD#: 124630 / SEC#: , 8-65702

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

Main Address
100 North Tampa Street Suite 3550, Tampa, FL 33602
Mailing Address
100 North Tampa Street Suite 3550, Tampa, FL 33602
Phone number
(813) 210-9530
Established
Florida since 09/17/2002
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

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAYMUS CAPITAL HOLDINGS, LLCOWNER
CARTER, ANA RCHIEF FINANCIAL OFFICER4424794
FREEMAN, MICHAEL ALLENOWNER1269039
MEUNIER, CHRISTOPHER JABOACHIEF COMPLIANCE OFFICER7407392
OVERBY, ROGER LYNNOWNER1919255
TRABER, MARTIN ALBERTOWNER6717637
WOOMER, ROBERTCHIEF EXECUTIVE OFFICER4255937

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

SKYWAY CAPITAL MARKETS, LLC

CRD#: 124630Tampa, FL 33602

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