Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dorothy? Claim Your ProfileDorothy Elizabeth Roth has over 40 years of experience in the financial services industry. Dorothy is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. and has held previous roles with GNA Securities, Inc., BA Investment Services, Inc., and BANC OF AMERICA INVESTMENT SERVICES, INC. Dorothy is a Certified Financial Planner and holds the Series 63, 65, 7 and SIE licenses. Dorothy is currently registered in several states including California, Nevada, Texas, and Arizona.
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
NV
06/12/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HENDERSON NV)
CA
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (GLENDALE CA)
CA
06/02/1992 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
VA
05/16/1990 - 06/30/1992
GNA SECURITIES, INC. (GLEN ALLEN VA)
NY
12/24/1981 - 12/04/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/04/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/30/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/1982
Series 5 - Interest Rate Options Examination
BC
Issued 12/19/1981
Series 7 - General Securities Representative 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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