Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Roth is a financial advisor who has been working in the industry since 1992. David is currently registered with Oppenheimer & Co. Inc. and has been registered with RBC Capital Markets, LLC, Casimir Capital L.P., Kuhns Brothers Securities Corporation, Sands Brothers & Co., LTD. and Bear, Stearns & Co. Inc. in the past. David is a Series 3, 7, 10, 24, 63, 66 and SIE licensed professional.
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.
Guidance on pension options to ensure a secure financial future.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CT
04/07/2021 - Present
Oppenheimer & Co. Inc. (STAMFORD CT)
CT
08/31/2007 - 02/06/2020
RBC CAPITAL MARKETS, LLC (WESTPORT CT)
NY
08/20/2003 - 09/24/2007
CASIMIR CAPITAL L.P. (NEW YORK NY)
CT
11/29/2001 - 09/17/2003
KUHNS BROTHERS SECURITIES CORPORATION (LIME ROCK CT)
NY
06/29/1992 - 11/27/2001
SANDS BROTHERS & CO., LTD. (NEW YORK NY)
NA
12/20/1988 - 04/03/1989
BEAR, STEARNS & CO. INC.
BOTH
Issued 12/27/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/08/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/30/2002
Series 24 - General Securities Principal Examination
BC
Issued 03/07/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2011
Series 3 - National Commodity Futures Examination
BC
Issued 06/27/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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