JR
Jacob R. Roth
MOOMOO FINANCIAL
JERSEY CITY, NJ 07311
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CRD#: 7024327
JR
Professional summary
Jacob Raymond Roth, who also goes by Jacob Raymond Roth, Jacob Roth, Jake Roth, is a registered financial professional currently at MOOMOO FINANCIAL INC. located in Jersey City, New Jersey.
Jacob is registered as a RR (Registered Representative) and started their career in finance in 2019. Jacob has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jacob Raymond Roth | Jacob Roth | Jake 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.
CRS (Client Relationship Summary) - BD
Click below to view Jacob Raymond 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®
NoneExperience
Current
January 11, 2023 - Present
MOOMOO FINANCIAL INC.
Office #1: 185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311BD
CRD#: 283078
JERSEY CITY, NJ
Past
October 13, 2020 - January 9, 2023
ROBINHOOD FINANCIAL, LLC
BD
CRD#: 165998
Lake Mary, FL
Past
May 7, 2019 - September 4, 2020
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Lone Tree, CO
Past
February 22, 2019 - September 4, 2020
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Lone Tree, CO
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
Alabama(1/11/2023)
RR
Alaska(1/11/2023)
RR
Arizona(1/11/2023)
RR
Arkansas(1/11/2023)
RR
California(1/11/2023)
RR
Colorado(1/11/2023)
RR
Connecticut(1/11/2023)
RR
Delaware(1/11/2023)
RR
District of Columbia(1/11/2023)
RR
Florida(1/11/2023)
RR
Georgia(1/11/2023)
RR
Hawaii(1/11/2023)
RR
Idaho(1/11/2023)
RR
Illinois(1/11/2023)
RR
Indiana(1/11/2023)
RR
Iowa(1/11/2023)
RR
Kansas(1/11/2023)
RR
Kentucky(1/11/2023)
RR
Louisiana(1/11/2023)
RR
Maine(1/11/2023)
RR
Maryland(1/11/2023)
RR
Massachusetts(1/11/2023)
RR
Michigan(1/11/2023)
RR
Minnesota(1/11/2023)
RR
Mississippi(1/11/2023)
RR
Missouri(1/11/2023)
RR
Montana(1/11/2023)
RR
Nebraska(1/11/2023)
RR
Nevada(1/11/2023)
RR
New Hampshire(1/11/2023)
RR
New Jersey(1/11/2023)
RR
New Mexico(1/11/2023)
RR
New York(1/11/2023)
RR
North Carolina(1/11/2023)
RR
North Dakota(1/11/2023)
RR
Ohio(1/11/2023)
RR
Oklahoma(1/11/2023)
RR
Oregon(1/11/2023)
RR
Pennsylvania(1/11/2023)
RR
Puerto Rico(1/11/2023)
RR
Rhode Island(1/11/2023)
RR
South Carolina(1/11/2023)
RR
South Dakota(1/11/2023)
RR
Tennessee(1/11/2023)
RR
Texas(1/11/2023)
RR
Utah(1/11/2023)
RR
Vermont(1/11/2023)
RR
Virgin Islands(1/11/2023)
RR
Virginia(1/11/2023)
RR
Washington(1/11/2023)
RR
West Virginia(1/11/2023)
RR
Wisconsin(1/11/2023)
RR
Wyoming(1/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/22/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MOOMOO FINANCIAL INC.
FUTU INC | MOOMOO FINANCIAL INC. | MOOMOO FINANCIAL INC
CRD#: 283078 / SEC#: , 8-69739
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311
Mailing Address
185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311
Phone number
(650) 798-5700
Established
Delaware since 12/17/2015
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FUTU US INC | SHAREHOLDER | |
| CHAN, WING KEI | MANAGING DIRECTOR | 6616753 |
| DU, SHUANG | HEAD OF US OPERATIONS | 5005050 |
| MCDONALD, NEIL ANTHONY | CEO | 1764574 |
| PALMER, NATHAN TYLER | PRESIDENT | 5805173 |
| PARSONS, DARREN JAMES | CHIEF OPERATIONS OFFICER | 2382680 |
| SHARMA, VICKRAMJIT | CHIEF LEGAL OFFICER | 7186502 |
| SHEN, QIUFANG | HEAD OF FINANCE | 3158926 |
| STIFELMAN, GLEN ROBERT | CHIEF COMPLIANCE OFFICER | 1699013 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
