Mitchell R. Roth

SOVRAN ADVISORS

Dallas, NC

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CRD#: 6995027

Professional summary

Mitchell Ryan Roth, CFP®, who also goes by Mitchell Roth, is a registered financial advisor currently at SOVRAN ADVISORS, LLC located in Dallas, North Carolina and CETERA WEALTH SERVICES, LLC located in Dallas, North Carolina.

Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Mitchell has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mitchell 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) - RIA

Click below to view Mitchell Ryan 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®

CFP^®

Certified Financial Planner

CRD#: 6363

Las Vegas, NV

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".

SOVRAN ADVISORS, LLC

CRD#: 329415 / SEC#: 801-129342

RIA

Registered Investment Advisory firm - (1/12/2024 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.

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

California
(4/15/2026)

Florida
(4/15/2026)

Georgia
(4/15/2026)

Illinois
(4/15/2026)

Iowa
(4/15/2026)

Minnesota
(4/15/2026)

Nevada
(4/15/2026)

North Carolina
(4/15/2026)

IAR

North Carolina
(4/15/2026)

Pennsylvania
(4/15/2026)

South Carolina
(4/15/2026)

Texas
(4/15/2026)

Wisconsin
(4/15/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/17/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SOVRAN ADVISORS, LLC

CRD#: 329415 / SEC#: 801-129342

RIA

Registered Investment Advisory firm - (1/12/2024 Approved)

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Contact information

Main Address

3131 Camino Del Rio N. Suite 800, San Diego, CA 92108

Mailing Address

Phone number

(619) 281-9890

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOVRAN ADVISORS, LLC - FORM ADV PART 2A (12/2/2025)

Regulatory assets under management

Total Number of Accounts	4,470
AUM (Assets Under Management)	$ 1,308,617,291

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.

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Advisor Monitoring

Firm Stability Insights

Mitchell R. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Ryan Roth's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVRAN ADVISORS, LLC

CETERA WEALTH SERVICES, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SOVRAN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/17/2018

SIE

Date: 10/1/2018

Series 7

Date: 8/23/2018

FINRA

Current Firm

SOVRAN ADVISORS, LLC

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOVRAN ADVISORS, LLC

TRUST BUT VERIFY

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