Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Allan Roth is a financial advisor with over 20 years of experience in the financial services industry. Scott Roth currently works at Ba Securities, LLC. Scott Roth is a Series 7, 24, 63, 79 and SIE licensed financial advisor and has been registered with FINRA since 1994. Scott Roth has held previous positions at ThinkEquity LLC, PageMill Partners, LLC, Credit Suisse First Boston Corporation, Prudential Securities Incorporated and Volpe Brown Whelan & Company, LLC. Scott Roth is licensed to provide financial services in California, Florida, Oklahoma, Pennsylvania and Utah.
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
CA
06/28/2017 - Present
BA Securities, LLC (MENLO PARK CA)
CA
04/02/2008 - 10/25/2012
THINKEQUITY LLC (SAN FRANCISCO CA)
CA
04/13/2005 - 11/02/2007
PAGEMILL PARTNERS, LLC (PALO ALTO CA)
NY
02/11/2000 - 11/05/2001
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
NY
01/17/2000 - 02/11/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
12/22/1994 - 01/17/2000
VOLPE BROWN WHELAN & COMPANY, LLC (SAN FRANCISCO CA)
BC
Issued 06/28/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/31/2008
Series 24 - General Securities Principal Examination
BC
Issued 05/13/2019
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2017
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 12/21/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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