Jacob R. Roth
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jacob Raymond Roth, who also goes by Jacob Raymond Roth, Jacob Roth, Jake Roth, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 2019. Jacob had worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2023 - January 7, 2026
MOOMOO FINANCIAL INC.
October 13, 2020 - January 9, 2023
ROBINHOOD FINANCIAL, LLC
May 7, 2019 - September 4, 2020
CHARLES SCHWAB & CO., INC.
February 22, 2019 - September 4, 2020
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/22/2019
General Securities Representative ExaminationCurrent Firm
MOOMOO FINANCIAL INC.
CRD#: 283078 / SEC#: , 8-69739
Contact information
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 | 2 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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