David I. Roth
PROSPERITY CAPITAL ADVISORS
Littleton, MA
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CRD#: 6817197
Professional summary
David Ira Roth, CFP® is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Littleton, Massachusetts.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. David 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.
1) David Roth provides Fixed Insurance, tax planning, management, preparation and business consulting services through Alison Wealth Management and Breezy Day Tax. These services are offered separately from any PCA related business or activities. David spends six hours per month during securities and twelve hours per month during non-securities hours on this activity. 2) David Roth is the Owner/Manager of Breezy Day Productions. Breezy Day Productions contracts DJs for events and produces music and music videos. David spends approximately ten hours per month during securities trading hours and twenty hours per month during non-securities trading hours on this activity. This not a securities related activity. 3) David Roth is on the board of directors as Treasury for Wildflower Meadow Condominium Association. David spends approximately three hours per month on this activity outside of security trading hours. This is not a securities related activity. 4) David Roth is involved in a self-employed Cryptocurrency Mining activity. Mr. Roth spends roughly two to four hours per month during non-trading hours. 5) David Roth is the owner of rental property. Mr. Roth has real estate that he owns and rents out to tenants. Mr. Roth spends approximately five hours per month on this activity with two of those hours occurring during trading hours. This is not a securities related activity. 6) David Roth is the President of Better Accounting Services, Inc. which is an accounting and tax preparation firm. Mr. Roth spends approximately 150 hours per month on this activity with approximately 100 of those hours occurring during trading hours. This is not an investment related activity and separate from his PCA related business or activities.
CRS (Client Relationship Summary) - RIA
Click below to view David Ira 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®
CFP®
Start date: 2021
Experience
Current
November 9, 2020 - Present
PROSPERITY CAPITAL ADVISORS
RIA
CRD#: 156480
Littleton, MA
Past
November 13, 2017 - October 5, 2020
NEWLY WEALTH LLC
RIA
CRD#: 288753
Littleton, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)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(9/9/2025)
IAR
Massachusetts(11/9/2020)
IAR
Texas(9/9/2025)
Current Firm
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
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