Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Roth is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Adam has been in the industry since January 2020 and is licensed to offer securities and investment advice in multiple states. Adam previously worked at LPL FINANCIAL LLC and CUNA BROKERAGE SERVICES, INC. Adam holds the Series 7, Series 66 and SIE licenses. In addition to his role at Merrill Lynch, Adam is also a board member at Bethel Church in Evansville, IN.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IN
03/20/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (EVANSVILLE IN)
IN
05/18/2022 - 02/13/2024
LPL FINANCIAL LLC (EVANSVILLE IN)
IN
01/01/2020 - 05/18/2022
CUNA BROKERAGE SERVICES, INC. (EVANSVILLE IN)
BOTH
Issued 01/22/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/31/2019
Series 7TO - General Securities Representative Examination
BC
Issued 12/06/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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