Joseph Harris Roth
Professional Summary
Joseph Harris Roth, who also goes by Joey Roth, Joseph Roth, is a registered financial advisor currently at EAGLE POINT SECURITIES LLC located in Greenwich, Connecticut. Joseph is registered as a RR (Registered Representative) and started their career in finance in 2010. Joseph has worked at 2 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 79 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joey Roth, Joseph Roth
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
16 years in the financial services industry
Current & Past Employments
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Current Firm
EAGLE POINT SECURITIES LLC
Contact Information
Main Address
600 Steamboat Road Suite 202, Greenwich, CT 06830Mailing Address
600 Steamboat Road Suite 202, Greenwich, CT 06830Phone Number
(203) 340-8565Established
Delaware since 11/29/2022Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(2/27/2024)
(1/31/2024)
(1/26/2024)
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(2/9/2024)
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Jun 2010About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Joseph Harris Roth's CRS (Customer Relationship Summary).
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