Philip J. 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.
Philip J Roth was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1978. Philip had worked at 6 firms and has passed the Series 63, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2002 - April 30, 2012
MILLER TABAK + CO., LLC
April 15, 1997 - February 13, 2002
MORGAN STANLEY & CO. LLC
February 2, 1995 - July 2, 1997
MORGAN STANLEY DW INC.
March 7, 1988 - December 24, 1992
LEHMAN BROTHERS INC.
December 1, 1980 - March 7, 1988
E. F. HUTTON & COMPANY INC
March 1, 1978 - July 22, 1980
LOEB PARTNERS
State Registrations and Notice Filings
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Exams
Current Firm
MILLER TABAK + CO., LLC
CRD#: 47293 / SEC#: , 8-51750
Contact information
Disclosures
| Regulatory Event | 13 |
Red Flags
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