Unclaimed
Arthur Roth has been in the financial services industry for 26 years. Arthur Roth is currently registered with BFC Planning, Inc. and has previously been registered with Legacy Financial Services, Inc., A.J. Pace & Co., Inc., TD Waterhouse Investor Services, Inc., Main Street Management Company, and Waterhouse Securities, Inc. Arthur Roth has passed the Series 63, Series 65, and Series 24 exams. Arthur Roth holds licenses in Arizona, California, Connecticut, Delaware, Florida, Georgia, Illinois, Indiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, New Jersey, New Mexico, New York, North Carolina, South Carolina, South Dakota, Texas, Utah, Virginia, West Virginia, and Wisconsin. Arthur Roth is also registered as an Investment Advisor Representative in Florida. Arthur Roth is associated with the firm's Merrit Island, FL and Cedar Rapids, IA offices. Arthur Roth specializes in providing financial planning and portfolio management for individuals and selection of other advisers. Arthur Roth is also involved in other business activities, including real estate holding, investments and insurance, and tax preparation.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Solicitor fee
1
2
FL
04/11/2014 - Present
BFC Planning, Inc. (MERRITT ISLAND FL)
CA
09/29/2003 - 01/12/2006
LEGACY FINANCIAL SERVICES, INC. (PETALUMA CA)
NY
08/24/2001 - 09/03/2003
A.J. PACE & CO., INC. (NEW YORK NY)
NE
09/22/1999 - 08/29/2001
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
MA
05/22/1998 - 09/08/1999
MAIN STREET MANAGEMENT COMPANY (BOSTON MA)
NE
01/30/1996 - 05/29/1998
WATERHOUSE SECURITIES, INC. (OMAHA NE)
IA
Issued 07/19/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/06/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/29/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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