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Arthur Thomas Roth

BFC Planning, Inc.

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About Arthur Thomas Roth

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.

Firm Information

Arthur Roth is currently registered with BFC Planning, Inc.. BFC Planning, Inc. is an investment advisory firm headquartered in Cedar Rapids, Iowa. The firm has over 200 investment advisor representatives and manages over $1.8 billion in assets. They provide financial planning, portfolio management for individuals, and selection of other advisors. BFC Planning serves a variety of clients, including individuals, corporations, pension plans, and charitable organizations.
BFC Planning, Inc.

4201 42ND STREET NE

CEDAR RAPIDS, IA 52402

$1.84B

Assets Under Management

Not reported

Total Clients

121

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Solicitor fee

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Arthur Roth’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Arthur Thomas Roth. Review regulatory record here.
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