Timothy J. Roth

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CRD#: 722565

Professional summary

Timothy John Roth was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Timothy is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Timothy had worked at 6 firms, which includes COMPREHENSIVE CAPITAL MANAGEMENT INC., APW CAPITAL INC., FIRST ADVISORS FINANCIAL GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, EDWARD JONES, MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 19, 2007 - March 1, 2011

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

RIA

CRD#: 119890

CHAMPAIGN, IL

Past

September 13, 2005 - March 1, 2011

APW CAPITAL, INC.

CRD#: 43814

SAVOY, IL

Past

June 4, 2002 - December 31, 2006

FIRST ADVISORS FINANCIAL GROUP, LLC

RIA

CRD#: 106396

PARSIPPANY, NJ

Past

June 27, 1994 - February 2, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 12, 1992 - June 8, 1994

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

March 11, 1991 - April 8, 1992

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

CRD#: 119890 / SEC#: 801-61068

RIA

Registered Investment Advisory firm - (4/19/2002 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/9/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/15/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/26/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/8/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/3/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

CRD#: 119890 / SEC#: 801-61068

RIA

Registered Investment Advisory firm - (4/19/2002 Approved)

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Contact information

Main Address

100 Enterprise Drive, Suite 504, Rockaway, NJ 07866

Mailing Address

Phone number

(973) 394-0404

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CCM ADV 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	2,105
AUM (Assets Under Management)	$ 71,040,110

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Timothy J. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

APW CAPITAL, INC.

FIRST ADVISORS FINANCIAL GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/9/1994

Series 63

Date: 3/15/1991

Series 3

Date: 8/26/1994

Series 7

Date: 3/8/1991

Series 8

Date: 10/3/1995

Current Firm

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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