Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Roth is a financial advisor with Scotia Capital (usa) Inc. James has been in the industry since 1998 and is registered with FINRA. James is licensed to sell securities in 52 states and holds Series 3, 7, 24, 63, and 65 licenses. James is also a registered principal with Scotia Capital (usa) Inc. Prior to joining Scotia Capital (usa) Inc. James worked at SG Americas Securities, LLC, Knight Libertas LLC, Barclays Capital Inc., J.P. Morgan Advisors, Inc., J.P. Morgan Securities Inc., Princeton Funds Distributor, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
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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2
NY
08/31/2015 - Present
Scotia Capital (usa) Inc. (NEW YORK NY)
NY
04/12/2010 - 08/06/2015
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
CT
03/16/2009 - 04/09/2010
KNIGHT LIBERTAS LLC (GREENWICH CT)
NY
01/27/2003 - 02/12/2009
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
01/25/2000 - 04/02/2001
J. P. MORGAN ADVISORS, INC. (NEW YORK NY)
NY
02/11/1999 - 01/28/2000
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
10/25/1996 - 02/10/1999
PRINCETON FUNDS DISTRIBUTOR, INC. (NEW YORK NY)
NY
10/21/1996 - 12/23/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 04/09/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2012
Series 3 - National Commodity Futures Examination
BC
Issued 10/18/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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