Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Leon Roth has been in the financial services industry since 2002. Stephen is currently registered with Performance Trust Capital Partners, LLC, and has held previous registrations with Northwestern Mutual Investment Services, LLC. Stephen is licensed to sell securities in California, Georgia, Illinois, New York, and Ohio. Stephen holds FINRA Series 6, 7, and 63 licenses, as well as the SIE exam.
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
IL
09/19/2005 - Present
Performance Trust Capital Partners, LLC (WHEATON IL)
WI
10/14/2002 - 09/19/2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
BC
Issued 04/17/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2005
Series 7 - General Securities Representative Examination
BC
Issued 10/12/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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