Stephanie R. Roth
Professional summary
Stephanie Rachel Roth, who also goes by Stephanie Rachel Needell, is a registered financial professional currently at WOLFE RESEARCH SECURITIES located in New York, New York.
Stephanie is registered as a RR (Registered Representative) and started their career in finance in 2021. Stephanie has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephanie Rachel Roth's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 5, 2023 - Present
WOLFE RESEARCH SECURITIES
Office #1: 757 Third Avenue Sixth Floor, New York, NY 10017March 22, 2021 - November 4, 2023
J.P. MORGAN SECURITIES LLC
March 8, 2021 - November 4, 2023
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/5/2023)
Exams
Series 7TO
Date: 3/7/2021
General Securities Representative ExaminationFINRA
Current Firm
WOLFE RESEARCH SECURITIES
CRD#: 151850 / SEC#: , 8-68406
Contact information
FINRA licenses (48 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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