Michelle B. 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.
Michelle B Roth, who also goes by Michelle Sue Berkowsky, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1978. Michelle had worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 62 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 27, 2015 - December 31, 2021
INTE SECURITIES LLC
January 1, 2013 - June 4, 2014
INTE SECURITIES LLC
May 14, 1988 - December 24, 1992
LEHMAN BROTHERS INC.
November 27, 1978 - May 14, 1988
E. F. HUTTON & COMPANY 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 79TO
Date: 3/28/2024
Investment Banking Registered Representative ExaminationSeries 62
Date: 12/26/2012
Corporate Securities Limited Representative ExaminationCurrent Firm
INTE SECURITIES LLC
CRD#: 47107 / SEC#: , 8-51667
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
